the North American Securities Administrators Association
ORGANIZATIONStrategy Development
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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
y the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no substantive limits on the investment strategies that may be pursued by the Fund. The Fund's capital may be invested in strategies othe
&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
y the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no substantive limits on the investment strategies that may be pursued by the Fund. The Fund's capital may be invested in strategies othe
&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
y the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no substantive limits on the investment strategies that may be pursued by the Fund. The Fund's capital may be invested in strategies othe
Entities connected to both the North American Securities Administrators Association and Strategy Development
UBS Securities LLC
ORGANIZATION
New York State
LOCATIONLehman Structured Products
ORGANIZATIONMassachusetts Securities Division
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATION
Internal Revenue Service
ORGANIZATIONDept. of
ORGANIZATION
New Hampshire
LOCATIONLehman
ORGANIZATIONCease & Desist
ORGANIZATION
Federal Reserve
ORGANIZATIONCivil Penalty
ORGANIZATIONParent Company
ORGANIZATION
United States
LOCATION
Department of Justice
ORGANIZATIONUBS Fund
ORGANIZATIONthe Financial Advisor's
ORGANIZATIONGeneral State of NY
ORGANIZATIONBrought
ORGANIZATIONThe Ohio Division of Securities
ORGANIZATION