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2 mentions1 same-page
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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
to supervise. Disposition: Fine Fine: 595,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By. Secretary of State of 47 States and Washington Allegations: Violation of Securities Act regulations regarding research practices and conflicts o
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
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington M. Allegations: Violation of Securities Act regulations regarding research practices and conflict
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
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Violation of Securities Act regulations regarding research practices and confli
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
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Violation of Securities Act regulations regarding research practices and confli
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
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington M. Allegations: Violation of Securities Act regulations regarding research practices and conflict
Sponsored
Mutual Connections (130)
Entities connected to both the North American Securities Administrators Association and Brought
UBS Securities LLC
ORGANIZATION6 w/ the·7 w/ Brought
The Ohio Division of Securities
ORGANIZATION5 w/ the·7 w/ Brought
Lehman
ORGANIZATION6 w/ the·5 w/ Brought
New Hampshire
LOCATION6 w/ the·5 w/ Brought
Dept. of
ORGANIZATION6 w/ the·5 w/ Brought
the Securities and Exchange Commission
ORGANIZATION6 w/ the·5 w/ Brought
New York State
LOCATION6 w/ the·5 w/ Brought
Internal Revenue Service
ORGANIZATION6 w/ the·5 w/ Brought
Lehman Structured Products
ORGANIZATION6 w/ the·5 w/ Brought
Massachusetts Securities Division
ORGANIZATION6 w/ the·5 w/ Brought
Cease & Desist
ORGANIZATION6 w/ the·5 w/ Brought
Department of Justice
ORGANIZATION5 w/ the·5 w/ Brought
General State of NY
ORGANIZATION5 w/ the·5 w/ Brought
UBS Fund
ORGANIZATION5 w/ the·5 w/ Brought
Federal Reserve
ORGANIZATION5 w/ the·5 w/ Brought
the Financial Advisor's
ORGANIZATION5 w/ the·5 w/ Brought
Parent Company
ORGANIZATION5 w/ the·5 w/ Brought
Civil Penalty
ORGANIZATION5 w/ the·5 w/ Brought
Swiss Federal Banking Commission
ORGANIZATION5 w/ the·5 w/ Brought
Fannie Mae
ORGANIZATION5 w/ the·5 w/ Brought