Back to Network
3
Shared Docs
3
Same-Page
3 / 3
Mentions
Document Mentions (3 shared documents)
2 mentions1 same-page
Page ?Same page
artnership will be received free of all Cayman Islands taxes. The Master Partnership is registered as an "exempted limited partnership" pursuant to the Exempted Limited Partnership Law (as amended). The Master Partnership has received an undertaking from the Governor in Cabinet of the Cayman Islands dated November 28, 2000 to the
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
2 mentions1 same-page
Page ?Same page
artnership will be received free of all Cayman Islands taxes. The Master Partnership is registered as an "exempted limited partnership" pursuant to the Exempted Limited Partnership Law (as amended). The Master Partnership has received an undertaking from the Governor in Cabinet of the Cayman Islands dated November 28, 2000 to the
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
2 mentions1 same-page
Page ?Same page
artnership will be received free of all Cayman Islands taxes. The Master Partnership is registered as an "exempted limited partnership" pursuant to the Exempted Limited Partnership Law (as amended). The Master Partnership has received an undertaking from the Governor in Cabinet of the Cayman Islands dated November 28, 2000 to the
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
Sponsored
Mutual Connections (126)
Entities connected to both the Exempted Limited Partnership Law and Civil Penalty
New York State
LOCATION4 w/ the·5 w/ Civil
Cayman
LOCATION5 w/ the·3 w/ Civil
New Hampshire
LOCATION3 w/ the·5 w/ Civil
Fannie Mae
ORGANIZATION3 w/ the·5 w/ Civil
the Securities and Exchange Commission
ORGANIZATION3 w/ the·5 w/ Civil
the Financial Advisor's
ORGANIZATION3 w/ the·5 w/ Civil
Parent Company
ORGANIZATION3 w/ the·5 w/ Civil
Dept. of
ORGANIZATION3 w/ the·5 w/ Civil
Brought
ORGANIZATION3 w/ the·5 w/ Civil
UBS AG
ORGANIZATION3 w/ the·5 w/ Civil
Federal Reserve
ORGANIZATION3 w/ the·5 w/ Civil
The Ohio Division of Securities
ORGANIZATION3 w/ the·5 w/ Civil
UBS Securities LLC
ORGANIZATION3 w/ the·5 w/ Civil
United States
LOCATION4 w/ the·4 w/ Civil
Swiss Federal Banking Commission
ORGANIZATION3 w/ the·5 w/ Civil
Lehman
ORGANIZATION3 w/ the·5 w/ Civil
UBS Fund
ORGANIZATION3 w/ the·5 w/ Civil
Lehman Structured Products
ORGANIZATION3 w/ the·5 w/ Civil
Massachusetts Securities Division
ORGANIZATION3 w/ the·5 w/ Civil
the North American Securities Administrators Association
ORGANIZATION3 w/ the·5 w/ Civil