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llocated among and credited to or debited against the Capital Accounts of the Members in accordance with their respective Fund Percentages for such Fiscal Period, except to the extent otherwise provided in this Agreement with respect to items of profit or loss that are to be allocated on a non-pro rata basis
.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS
2 mentions1 same-page
Page ?Same page
llocated among and credited to or debited against the Capital Accounts of the Members in accordance with their respective Fund Percentages for such Fiscal Period, except to the extent otherwise provided in this Agreement with respect to items of profit or loss that are to be allocated on a non-pro rata basis
.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS
2 mentions1 same-page
Page ?Same page
llocated among and credited to or debited against the Capital Accounts of the Members in accordance with their respective Fund Percentages for such Fiscal Period, except to the extent otherwise provided in this Agreement with respect to items of profit or loss that are to be allocated on a non-pro rata basis
.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS
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Mutual Connections (126)
Entities connected to both Fiscal Period and Massachusetts Securities Division
the North American Securities Administrators Association
ORGANIZATION3 w/ Fiscal·6 w/ Massachusetts
UBS Securities LLC
ORGANIZATION3 w/ Fiscal·6 w/ Massachusetts
Cease & Desist
ORGANIZATION3 w/ Fiscal·6 w/ Massachusetts
Lehman
ORGANIZATION3 w/ Fiscal·6 w/ Massachusetts
Dept. of
ORGANIZATION3 w/ Fiscal·6 w/ Massachusetts
New York State
LOCATION3 w/ Fiscal·6 w/ Massachusetts
New Hampshire
LOCATION3 w/ Fiscal·6 w/ Massachusetts
Lehman Structured Products
ORGANIZATION3 w/ Fiscal·6 w/ Massachusetts
the Securities and Exchange Commission
ORGANIZATION3 w/ Fiscal·6 w/ Massachusetts
Internal Revenue Service
ORGANIZATION3 w/ Fiscal·6 w/ Massachusetts
Swiss Federal Banking Commission
ORGANIZATION3 w/ Fiscal·5 w/ Massachusetts
Parent Company
ORGANIZATION3 w/ Fiscal·5 w/ Massachusetts
Samantha Power
PERSON4 w/ Fiscal·4 w/ Massachusetts
Wilmington
LOCATION5 w/ Fiscal·3 w/ Massachusetts
Department of Justice
ORGANIZATION3 w/ Fiscal·5 w/ Massachusetts
UBS Fund
ORGANIZATION3 w/ Fiscal·5 w/ Massachusetts
Civil Penalty
ORGANIZATION3 w/ Fiscal·5 w/ Massachusetts
General State of NY
ORGANIZATION3 w/ Fiscal·5 w/ Massachusetts
Brought
ORGANIZATION3 w/ Fiscal·5 w/ Massachusetts
The Ohio Division of Securities
ORGANIZATION3 w/ Fiscal·5 w/ Massachusetts