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Document Mentions (7 shared documents)
2 mentions1 same-page
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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
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
TEM 17. VOTING CLIENT SECURITIES 14 ITEM 18. FINANCIAL INFORMATION 15 ML281837-MAXWELL CONF I DENTIAL UBSTERRAMAR00001467 EFTA00237113 About UBS Fund Advisor. L.L.C. UBS Fund Advisor, L.L.C. ("Fund Advisor') is a registered investment adviser that provides advisory and administration services to
and did not file with the National Futures Association the commodity pools' annual reports in a timely manner or deliver to pool participants. Cease & Desist from violating Regulation 4.7(b)(3)(i) and CFR 4.7(b)(3)(0(2008) and pay a civil penalty Civil Penalty: $50,000 5 February 2009 SEC and
2 mentions1 same-page
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ITEM 17. VOTING CLIENT SECURITIES 14 ITEM 18. FINANCIAL INFORMATION 15 ER305378-MAXWELL CONFIDENTIAL UBSTERFtAMAR00002091 EFTA00237722 About UBS Fund Advisor. L.L.C. UBS Fund Advisor, L.L.C. ("Fund Advisor') is a registered investment adviser that provides advisory and administration services to
and did not file with the National Futures Association the commodity pools' annual reports in a timely manner or deliver to pool participants. Cease & Desist from violating Regulation 4.7(b)(3)(0 and CFR 4.7(b)(3)(0(2008) and pay a civil penalty Civil Penalty: $50,000 5 February 2009 SEC and U
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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
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
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
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
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
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
Sponsored
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
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 (179)
Entities connected to both UBS Fund and Cease & Desist
the Securities and Exchange Commission
ORGANIZATION8 w/ UBS·8 w/ Cease
UBS AG
ORGANIZATION9 w/ UBS·7 w/ Cease
UBS Securities LLC
ORGANIZATION7 w/ UBS·8 w/ Cease
Federal Reserve
ORGANIZATION8 w/ UBS·7 w/ Cease
Fannie Mae
ORGANIZATION7 w/ UBS·7 w/ Cease
United States
LOCATION8 w/ UBS·6 w/ Cease
Department of Justice
ORGANIZATION7 w/ UBS·7 w/ Cease
Ghislaine Maxwell
PERSON7 w/ UBS·6 w/ Cease
Lehman
ORGANIZATION5 w/ UBS·6 w/ Cease
Dept. of
ORGANIZATION5 w/ UBS·6 w/ Cease
New York State
LOCATION5 w/ UBS·6 w/ Cease
Internal Revenue Service
ORGANIZATION5 w/ UBS·6 w/ Cease
Massachusetts Securities Division
ORGANIZATION5 w/ UBS·6 w/ Cease
Lehman Structured Products
ORGANIZATION5 w/ UBS·6 w/ Cease
New Hampshire
LOCATION5 w/ UBS·6 w/ Cease
the North American Securities Administrators Association
ORGANIZATION5 w/ UBS·6 w/ Cease
Civil Penalty
ORGANIZATION5 w/ UBS·5 w/ Cease
Parent Company
ORGANIZATION5 w/ UBS·5 w/ Cease
General State of NY
ORGANIZATION5 w/ UBS·5 w/ Cease
Brought
ORGANIZATION5 w/ UBS·5 w/ Cease