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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
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
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
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
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
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 (126)
Entities connected to both Fiscal Period and Cease & Desist
UBS Securities LLC
ORGANIZATION3 w/ Fiscal·8 w/ Cease
the Securities and Exchange Commission
ORGANIZATION3 w/ Fiscal·8 w/ Cease
Federal Reserve
ORGANIZATION3 w/ Fiscal·7 w/ Cease
UBS AG
ORGANIZATION3 w/ Fiscal·7 w/ Cease
Department of Justice
ORGANIZATION3 w/ Fiscal·7 w/ Cease
United States
LOCATION4 w/ Fiscal·6 w/ Cease
Fannie Mae
ORGANIZATION3 w/ Fiscal·7 w/ Cease
UBS Fund
ORGANIZATION3 w/ Fiscal·7 w/ Cease
Dept. of
ORGANIZATION3 w/ Fiscal·6 w/ Cease
Lehman Structured Products
ORGANIZATION3 w/ Fiscal·6 w/ Cease
Massachusetts Securities Division
ORGANIZATION3 w/ Fiscal·6 w/ Cease
the North American Securities Administrators Association
ORGANIZATION3 w/ Fiscal·6 w/ Cease
Lehman
ORGANIZATION3 w/ Fiscal·6 w/ Cease
New Hampshire
LOCATION3 w/ Fiscal·6 w/ Cease
Internal Revenue Service
ORGANIZATION3 w/ Fiscal·6 w/ Cease
New York State
LOCATION3 w/ Fiscal·6 w/ Cease
Swiss Federal Banking Commission
ORGANIZATION3 w/ Fiscal·5 w/ Cease
Samantha Power
PERSON4 w/ Fiscal·4 w/ Cease
Wilmington
LOCATION5 w/ Fiscal·3 w/ Cease
Civil Penalty
ORGANIZATION3 w/ Fiscal·5 w/ Cease