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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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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Mutual Connections (126)
Entities connected to both Fiscal Period and Back Taxes Payment
Parent Company
ORGANIZATION3 w/ Fiscal·5 w/ Back
the Securities and Exchange Commission
ORGANIZATION3 w/ Fiscal·5 w/ Back
UBS AG
ORGANIZATION3 w/ Fiscal·5 w/ Back
Federal Reserve
ORGANIZATION3 w/ Fiscal·5 w/ Back
United States
LOCATION4 w/ Fiscal·4 w/ Back
Lehman
ORGANIZATION3 w/ Fiscal·5 w/ Back
the Financial Advisor's
ORGANIZATION3 w/ Fiscal·5 w/ Back
Dept. of
ORGANIZATION3 w/ Fiscal·5 w/ Back
Samantha Power
PERSON4 w/ Fiscal·4 w/ Back
Wilmington
LOCATION5 w/ Fiscal·3 w/ Back
New Hampshire
LOCATION3 w/ Fiscal·5 w/ Back
UBS Securities LLC
ORGANIZATION3 w/ Fiscal·5 w/ Back
Department of Justice
ORGANIZATION3 w/ Fiscal·5 w/ Back
New York State
LOCATION3 w/ Fiscal·5 w/ Back
UBS Fund
ORGANIZATION3 w/ Fiscal·5 w/ Back
Lehman Structured Products
ORGANIZATION3 w/ Fiscal·5 w/ Back
Massachusetts Securities Division
ORGANIZATION3 w/ Fiscal·5 w/ Back
the North American Securities Administrators Association
ORGANIZATION3 w/ Fiscal·5 w/ Back
Civil Penalty
ORGANIZATION3 w/ Fiscal·5 w/ Back
Cease & Desist
ORGANIZATION3 w/ Fiscal·5 w/ Back