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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
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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Mutual Connections (126)
Entities connected to both Fiscal Period and Connecticut Department
Samantha Power
PERSON4 w/ Fiscal·4 w/ Connecticut
Wilmington
LOCATION5 w/ Fiscal·3 w/ Connecticut
United States
LOCATION4 w/ Fiscal·4 w/ Connecticut
New Hampshire
LOCATION3 w/ Fiscal·4 w/ Connecticut
UBS Securities LLC
ORGANIZATION3 w/ Fiscal·4 w/ Connecticut
New York
LOCATION4 w/ Fiscal·3 w/ Connecticut
Department of Justice
ORGANIZATION3 w/ Fiscal·4 w/ Connecticut
UBS Fund
ORGANIZATION3 w/ Fiscal·4 w/ Connecticut
Lehman Structured Products
ORGANIZATION3 w/ Fiscal·4 w/ Connecticut
Massachusetts Securities Division
ORGANIZATION3 w/ Fiscal·4 w/ Connecticut
the North American Securities Administrators Association
ORGANIZATION3 w/ Fiscal·4 w/ Connecticut
Civil Penalty
ORGANIZATION3 w/ Fiscal·4 w/ Connecticut
Cease & Desist
ORGANIZATION3 w/ Fiscal·4 w/ Connecticut
General State of NY
ORGANIZATION3 w/ Fiscal·4 w/ Connecticut
Brought
ORGANIZATION3 w/ Fiscal·4 w/ Connecticut
The Ohio Division of Securities
ORGANIZATION3 w/ Fiscal·4 w/ Connecticut
Back Taxes Payment
ORGANIZATION3 w/ Fiscal·4 w/ Connecticut
Swiss Federal Banking Commission
ORGANIZATION3 w/ Fiscal·4 w/ Connecticut
New York State
LOCATION3 w/ Fiscal·4 w/ Connecticut
the Connecticut Department of Banking
ORGANIZATION3 w/ Fiscal·4 w/ Connecticut