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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
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
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
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
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
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
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Mutual Connections (126)
Entities connected to both Fiscal Period and Civil Penalty
Parent Company
ORGANIZATION3 w/ Fiscal·5 w/ Civil
the Securities and Exchange Commission
ORGANIZATION3 w/ Fiscal·5 w/ Civil
UBS AG
ORGANIZATION3 w/ Fiscal·5 w/ Civil
Federal Reserve
ORGANIZATION3 w/ Fiscal·5 w/ Civil
United States
LOCATION4 w/ Fiscal·4 w/ Civil
Lehman
ORGANIZATION3 w/ Fiscal·5 w/ Civil
the Financial Advisor's
ORGANIZATION3 w/ Fiscal·5 w/ Civil
Dept. of
ORGANIZATION3 w/ Fiscal·5 w/ Civil
Samantha Power
PERSON4 w/ Fiscal·4 w/ Civil
Wilmington
LOCATION5 w/ Fiscal·3 w/ Civil
New Hampshire
LOCATION3 w/ Fiscal·5 w/ Civil
UBS Securities LLC
ORGANIZATION3 w/ Fiscal·5 w/ Civil
Department of Justice
ORGANIZATION3 w/ Fiscal·5 w/ Civil
New York State
LOCATION3 w/ Fiscal·5 w/ Civil
UBS Fund
ORGANIZATION3 w/ Fiscal·5 w/ Civil
Lehman Structured Products
ORGANIZATION3 w/ Fiscal·5 w/ Civil
Massachusetts Securities Division
ORGANIZATION3 w/ Fiscal·5 w/ Civil
the North American Securities Administrators Association
ORGANIZATION3 w/ Fiscal·5 w/ Civil
Cease & Desist
ORGANIZATION3 w/ Fiscal·5 w/ Civil
General State of NY
ORGANIZATION3 w/ Fiscal·5 w/ Civil