Back to Network
the North American Securities Administrators Association
ORGANIZATIONFinancial Advisors of
ORGANIZATION3
Shared Docs
3
Same-Page
3 / 3
Mentions
Document Mentions (3 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
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and S5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
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
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and $5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
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
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and $5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
Sponsored
Mutual Connections (126)
Entities connected to both the North American Securities Administrators Association and Financial Advisors of
New York State
LOCATION6 w/ the·3 w/ Financial
Massachusetts Securities Division
ORGANIZATION6 w/ the·3 w/ Financial
Internal Revenue Service
ORGANIZATION6 w/ the·3 w/ Financial
Dept. of
ORGANIZATION6 w/ the·3 w/ Financial
Lehman
ORGANIZATION6 w/ the·3 w/ Financial
Lehman Structured Products
ORGANIZATION6 w/ the·3 w/ Financial
Cease & Desist
ORGANIZATION6 w/ the·3 w/ Financial
UBS Securities LLC
ORGANIZATION6 w/ the·3 w/ Financial
the Securities and Exchange Commission
ORGANIZATION6 w/ the·3 w/ Financial
New Hampshire
LOCATION6 w/ the·3 w/ Financial
Fannie Mae
ORGANIZATION5 w/ the·3 w/ Financial
the Financial Advisor's
ORGANIZATION5 w/ the·3 w/ Financial
Parent Company
ORGANIZATION5 w/ the·3 w/ Financial
Department of Justice
ORGANIZATION5 w/ the·3 w/ Financial
UBS AG
ORGANIZATION5 w/ the·3 w/ Financial
UBS Fund
ORGANIZATION5 w/ the·3 w/ Financial
General State of NY
ORGANIZATION5 w/ the·3 w/ Financial
Brought
ORGANIZATION5 w/ the·3 w/ Financial
The Ohio Division of Securities
ORGANIZATION5 w/ the·3 w/ Financial
Back Taxes Payment
ORGANIZATION5 w/ the·3 w/ Financial