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Document Mentions (4 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
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (DO;), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DOJ, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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
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
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
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
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
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
Sponsored
Mutual Connections (127)
Entities connected to both UBS Fund and Connecticut Department
UBS AG
ORGANIZATION9 w/ UBS·4 w/ Connecticut
United States
LOCATION8 w/ UBS·4 w/ Connecticut
Federal Reserve
ORGANIZATION8 w/ UBS·4 w/ Connecticut
the Securities and Exchange Commission
ORGANIZATION8 w/ UBS·4 w/ Connecticut
Department of Justice
ORGANIZATION7 w/ UBS·4 w/ Connecticut
UBS Securities LLC
ORGANIZATION7 w/ UBS·4 w/ Connecticut
Fannie Mae
ORGANIZATION7 w/ UBS·4 w/ Connecticut
Cease & Desist
ORGANIZATION7 w/ UBS·4 w/ Connecticut
Ghislaine Maxwell
PERSON7 w/ UBS·3 w/ Connecticut
UBS Fund Advisor
ORGANIZATION6 w/ UBS·4 w/ Connecticut
Massachusetts Securities Division
ORGANIZATION5 w/ UBS·4 w/ Connecticut
Civil Penalty
ORGANIZATION5 w/ UBS·4 w/ Connecticut
Lehman Structured Products
ORGANIZATION5 w/ UBS·4 w/ Connecticut
General State of NY
ORGANIZATION5 w/ UBS·4 w/ Connecticut
Brought
ORGANIZATION5 w/ UBS·4 w/ Connecticut
The Ohio Division of Securities
ORGANIZATION5 w/ UBS·4 w/ Connecticut
Back Taxes Payment
ORGANIZATION5 w/ UBS·4 w/ Connecticut
Swiss Federal Banking Commission
ORGANIZATION5 w/ UBS·4 w/ Connecticut
the Financial Advisor's
ORGANIZATION5 w/ UBS·4 w/ Connecticut
Samantha Power
PERSON5 w/ UBS·4 w/ Connecticut