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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
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
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
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
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
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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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
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
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
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 (130)
Entities connected to both UBS Fund and Civil Penalty
UBS AG
ORGANIZATION9 w/ UBS·5 w/ Civil
Federal Reserve
ORGANIZATION8 w/ UBS·5 w/ Civil
the Securities and Exchange Commission
ORGANIZATION8 w/ UBS·5 w/ Civil
UBS Securities LLC
ORGANIZATION7 w/ UBS·5 w/ Civil
United States
LOCATION8 w/ UBS·4 w/ Civil
Cease & Desist
ORGANIZATION7 w/ UBS·5 w/ Civil
Department of Justice
ORGANIZATION7 w/ UBS·5 w/ Civil
Fannie Mae
ORGANIZATION7 w/ UBS·5 w/ Civil
Ghislaine Maxwell
PERSON7 w/ UBS·4 w/ Civil
Back Taxes Payment
ORGANIZATION5 w/ UBS·5 w/ Civil
Swiss Federal Banking Commission
ORGANIZATION5 w/ UBS·5 w/ Civil
UBS Fund Advisor
ORGANIZATION6 w/ UBS·4 w/ Civil
New York State
LOCATION5 w/ UBS·5 w/ Civil
Internal Revenue Service
ORGANIZATION5 w/ UBS·5 w/ Civil
Dept. of
ORGANIZATION5 w/ UBS·5 w/ Civil
Lehman
ORGANIZATION5 w/ UBS·5 w/ Civil
New Hampshire
LOCATION5 w/ UBS·5 w/ Civil
Lehman Structured Products
ORGANIZATION5 w/ UBS·5 w/ Civil
Massachusetts Securities Division
ORGANIZATION5 w/ UBS·5 w/ Civil
the North American Securities Administrators Association
ORGANIZATION5 w/ UBS·5 w/ Civil