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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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement ($200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; $400,000,000 14. Date of Action: January 2011 Disposition: SIX Swiss Exchange Regulation OBS AG was fined for
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement ($200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: $380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
2 mentions1 same-page
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&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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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2 mentions1 same-page
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&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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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Mutual Connections (130)
Entities connected to both the North American Securities Administrators Association and Back Taxes Payment
Lehman
ORGANIZATION6 w/ the·5 w/ Back
New Hampshire
LOCATION6 w/ the·5 w/ Back
Dept. of
ORGANIZATION6 w/ the·5 w/ Back
UBS Securities LLC
ORGANIZATION6 w/ the·5 w/ Back
the Securities and Exchange Commission
ORGANIZATION6 w/ the·5 w/ Back
New York State
LOCATION6 w/ the·5 w/ Back
Internal Revenue Service
ORGANIZATION6 w/ the·5 w/ Back
Lehman Structured Products
ORGANIZATION6 w/ the·5 w/ Back
Massachusetts Securities Division
ORGANIZATION6 w/ the·5 w/ Back
Cease & Desist
ORGANIZATION6 w/ the·5 w/ Back
Civil Penalty
ORGANIZATION5 w/ the·5 w/ Back
Department of Justice
ORGANIZATION5 w/ the·5 w/ Back
General State of NY
ORGANIZATION5 w/ the·5 w/ Back
UBS Fund
ORGANIZATION5 w/ the·5 w/ Back
Fannie Mae
ORGANIZATION5 w/ the·5 w/ Back
Federal Reserve
ORGANIZATION5 w/ the·5 w/ Back
the Financial Advisor's
ORGANIZATION5 w/ the·5 w/ Back
Parent Company
ORGANIZATION5 w/ the·5 w/ Back
Swiss Federal Banking Commission
ORGANIZATION5 w/ the·5 w/ Back
Brought
ORGANIZATION5 w/ the·5 w/ Back