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.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &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
n favor of investors in the Fund. Allocation of Investment Strategies and Investments to and Among the Feeder Funds and Other Accounts; Conflicting Investment Opportunities; Cross Transactions In addition to the Feeder Funds and certain related entities through which the Portfolio Managers invest, Millennium has establ
2 mentions1 same-page
Page ?Same page
.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &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
icts in a manner that is fair and reasonable. Allocation of Investments to and Among Feeder Funds, Related Accounts and Other Accounts; Conflicting Investment Opportunities; Cross Transactions Although at present Millennium's only clients are the Master Partnership, the Feeder Funds and certain related entities through
2 mentions1 same-page
Page ?Same page
.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &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
icts in a manner that is fair and reasonable. Allocation of Investments to and Among Feeder Funds, Related Accounts and Other Accounts; Conflicting Investment Opportunities; Cross Transactions Although at present Millennium's only clients are the Master Partnership, the Feeder Funds and certain related entities through
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Mutual Connections (126)
Entities connected to both Massachusetts Securities Division and Investment Opportunities
Federal Reserve
ORGANIZATION5 w/ Massachusetts·4 w/ Investment
Lehman
ORGANIZATION6 w/ Massachusetts·3 w/ Investment
UBS Securities LLC
ORGANIZATION6 w/ Massachusetts·3 w/ Investment
Lehman Structured Products
ORGANIZATION6 w/ Massachusetts·3 w/ Investment
the North American Securities Administrators Association
ORGANIZATION6 w/ Massachusetts·3 w/ Investment
Cease & Desist
ORGANIZATION6 w/ Massachusetts·3 w/ Investment
Department of Justice
ORGANIZATION5 w/ Massachusetts·4 w/ Investment
New York State
LOCATION6 w/ Massachusetts·3 w/ Investment
Internal Revenue Service
ORGANIZATION6 w/ Massachusetts·3 w/ Investment
New Hampshire
LOCATION6 w/ Massachusetts·3 w/ Investment
the Securities and Exchange Commission
ORGANIZATION6 w/ Massachusetts·3 w/ Investment
Dept. of
ORGANIZATION6 w/ Massachusetts·3 w/ Investment
UBS AG
ORGANIZATION5 w/ Massachusetts·3 w/ Investment
Brought
ORGANIZATION5 w/ Massachusetts·3 w/ Investment
The Ohio Division of Securities
ORGANIZATION5 w/ Massachusetts·3 w/ Investment
Back Taxes Payment
ORGANIZATION5 w/ Massachusetts·3 w/ Investment
Swiss Federal Banking Commission
ORGANIZATION5 w/ Massachusetts·3 w/ Investment
the Financial Advisor's
ORGANIZATION5 w/ Massachusetts·3 w/ Investment
Parent Company
ORGANIZATION5 w/ Massachusetts·3 w/ Investment
United States
LOCATION4 w/ Massachusetts·4 w/ Investment