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y Withdrawal Charge shall have the meaning set forth in Section 4.3(c)(ii) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINR4 means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
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 UBS Securities LLC) agreed to pay a
2 mentions1 same-page
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Early Withdrawal Charge shall have the meaning set forth in Section 4.3(e) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINRA means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
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 UBS Securities LLC) agreed to pay a
2 mentions1 same-page
Page ?Same page
Early Withdrawal Charge shall have the meaning set forth in Section 4.3(e) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINRA means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
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 UBS Securities LLC) agreed to pay a
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Mutual Connections (128)
Entities connected to both Administrative Services and Cease & Desist
UBS AG
ORGANIZATION6 w/ Administrative·7 w/ Cease
United States
LOCATION6 w/ Administrative·6 w/ Cease
Federal Reserve
ORGANIZATION5 w/ Administrative·7 w/ Cease
the Securities and Exchange Commission
ORGANIZATION4 w/ Administrative·8 w/ Cease
UBS Securities LLC
ORGANIZATION3 w/ Administrative·8 w/ Cease
UBS Fund
ORGANIZATION4 w/ Administrative·7 w/ Cease
Fannie Mae
ORGANIZATION3 w/ Administrative·7 w/ Cease
Department of Justice
ORGANIZATION3 w/ Administrative·7 w/ Cease
Ghislaine Maxwell
PERSON4 w/ Administrative·6 w/ Cease
Internal Revenue Service
ORGANIZATION3 w/ Administrative·6 w/ Cease
the North American Securities Administrators Association
ORGANIZATION3 w/ Administrative·6 w/ Cease
Dept. of
ORGANIZATION3 w/ Administrative·6 w/ Cease
Ernst & Young LLP
ORGANIZATION6 w/ Administrative·3 w/ Cease
New Hampshire
LOCATION3 w/ Administrative·6 w/ Cease
New York
LOCATION6 w/ Administrative·3 w/ Cease
Massachusetts Securities Division
ORGANIZATION3 w/ Administrative·6 w/ Cease
Cayman
LOCATION6 w/ Administrative·3 w/ Cease
Lehman Structured Products
ORGANIZATION3 w/ Administrative·6 w/ Cease
Millennium
ORGANIZATION6 w/ Administrative·3 w/ Cease
New York State
LOCATION3 w/ Administrative·6 w/ Cease