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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
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
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
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
&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
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
Sponsored
2 mentions1 same-page
Page ?Same page
&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
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
&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
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
Sponsored
Mutual Connections (130)
Entities connected to both the North American Securities Administrators Association and Civil Penalty
Lehman
ORGANIZATION6 w/ the·5 w/ Civil
New Hampshire
LOCATION6 w/ the·5 w/ Civil
Dept. of
ORGANIZATION6 w/ the·5 w/ Civil
UBS Securities LLC
ORGANIZATION6 w/ the·5 w/ Civil
the Securities and Exchange Commission
ORGANIZATION6 w/ the·5 w/ Civil
New York State
LOCATION6 w/ the·5 w/ Civil
Internal Revenue Service
ORGANIZATION6 w/ the·5 w/ Civil
Lehman Structured Products
ORGANIZATION6 w/ the·5 w/ Civil
Massachusetts Securities Division
ORGANIZATION6 w/ the·5 w/ Civil
Cease & Desist
ORGANIZATION6 w/ the·5 w/ Civil
General State of NY
ORGANIZATION5 w/ the·5 w/ Civil
Department of Justice
ORGANIZATION5 w/ the·5 w/ Civil
Brought
ORGANIZATION5 w/ the·5 w/ Civil
UBS Fund
ORGANIZATION5 w/ the·5 w/ Civil
Fannie Mae
ORGANIZATION5 w/ the·5 w/ Civil
Federal Reserve
ORGANIZATION5 w/ the·5 w/ Civil
the Financial Advisor's
ORGANIZATION5 w/ the·5 w/ Civil
Parent Company
ORGANIZATION5 w/ the·5 w/ Civil
Swiss Federal Banking Commission
ORGANIZATION5 w/ the·5 w/ Civil
The Ohio Division of Securities
ORGANIZATION5 w/ the·5 w/ Civil