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Document Mentions (5 shared documents)
2 mentions1 same-page
Page ?Same page
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
Brought 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): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: violations of
2 mentions1 same-page
Page ?Same page
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
Brought 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): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
2 mentions1 same-page
Page ?Same page
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
&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): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
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2 mentions1 same-page
Page ?Same page
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
&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): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
2 mentions1 same-page
Page ?Same page
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
&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): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
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Mutual Connections (130)
Entities connected to both UBS Fund and the North American Securities Administrators Association
the Securities and Exchange Commission
ORGANIZATION8 w/ UBS·6 w/ the
UBS AG
ORGANIZATION9 w/ UBS·5 w/ the
UBS Securities LLC
ORGANIZATION7 w/ UBS·6 w/ the
Federal Reserve
ORGANIZATION8 w/ UBS·5 w/ the
Cease & Desist
ORGANIZATION7 w/ UBS·6 w/ the
Fannie Mae
ORGANIZATION7 w/ UBS·5 w/ the
United States
LOCATION8 w/ UBS·4 w/ the
Department of Justice
ORGANIZATION7 w/ UBS·5 w/ the
New Hampshire
LOCATION5 w/ UBS·6 w/ the
New York State
LOCATION5 w/ UBS·6 w/ the
Lehman Structured Products
ORGANIZATION5 w/ UBS·6 w/ the
Massachusetts Securities Division
ORGANIZATION5 w/ UBS·6 w/ the
Lehman
ORGANIZATION5 w/ UBS·6 w/ the
Ghislaine Maxwell
PERSON7 w/ UBS·4 w/ the
Dept. of
ORGANIZATION5 w/ UBS·6 w/ the
Internal Revenue Service
ORGANIZATION5 w/ UBS·6 w/ the
Swiss Federal Banking Commission
ORGANIZATION5 w/ UBS·5 w/ the
Civil Penalty
ORGANIZATION5 w/ UBS·5 w/ the
General State of NY
ORGANIZATION5 w/ UBS·5 w/ the
Brought
ORGANIZATION5 w/ UBS·5 w/ the