Back to Network
6
Shared Docs
6
Same-Page
6 / 6
Mentions
Document Mentions (6 shared documents)
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
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
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. Nlegations: Violations of 3
Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposkion: Cease & Desist INunction; CMI Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid m all 50 states. UBS Financial Seances Inc. (together with UBS Securities LLC) agreed to pay a fi
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
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
&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
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
&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
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
&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
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
Mutual Connections (130)
Entities connected to both the North American Securities Administrators Association and Cease & Desist
the Securities and Exchange Commission
ORGANIZATION6 w/ the·8 w/ Cease
UBS Securities LLC
ORGANIZATION6 w/ the·8 w/ Cease
New Hampshire
LOCATION6 w/ the·6 w/ Cease
Lehman
ORGANIZATION6 w/ the·6 w/ Cease
Fannie Mae
ORGANIZATION5 w/ the·7 w/ Cease
Dept. of
ORGANIZATION6 w/ the·6 w/ Cease
Department of Justice
ORGANIZATION5 w/ the·7 w/ Cease
New York State
LOCATION6 w/ the·6 w/ Cease
Internal Revenue Service
ORGANIZATION6 w/ the·6 w/ Cease
UBS AG
ORGANIZATION5 w/ the·7 w/ Cease
UBS Fund
ORGANIZATION5 w/ the·7 w/ Cease
Lehman Structured Products
ORGANIZATION6 w/ the·6 w/ Cease
Massachusetts Securities Division
ORGANIZATION6 w/ the·6 w/ Cease
Federal Reserve
ORGANIZATION5 w/ the·7 w/ Cease
United States
LOCATION4 w/ the·6 w/ Cease
Back Taxes Payment
ORGANIZATION5 w/ the·5 w/ Cease
Civil Penalty
ORGANIZATION5 w/ the·5 w/ Cease
General State of NY
ORGANIZATION5 w/ the·5 w/ Cease
The Ohio Division of Securities
ORGANIZATION5 w/ the·5 w/ Cease
the Financial Advisor's
ORGANIZATION5 w/ the·5 w/ Cease