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the North American Securities Administrators Association
ORGANIZATIONthe U.S. National Futures Association
ORGANIZATION3
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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
ennium Global Estate GP is registered with the CFTC as a commodity pool operator ("CPO"), as a commodity trading advisor ("CTA") and is a member of the U.S. National Futures Association. In addition, Mr. Englander, the ultimate control person of each of the General Partner, Millennium International Management and Millennium Global
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
. Commodity Futures Trading Commission (the "CFTC") as a commodity pool operator ("CPO"), as a commodity trading advisor ("CTA") and is a member of the U.S. National Futures Association. In addition, Israel Englander, the managing member or control person of each of the General Partner, Millennium International Management and Mille
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
. Commodity Futures Trading Commission (the "CFTC") as a commodity pool operator ("CPO"), as a commodity trading advisor ("CTA") and is a member of the U.S. National Futures Association. In addition, Israel Englander, the managing member or control person of each of the General Partner, Millennium International Management and Mille
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Mutual Connections (126)
Entities connected to both the North American Securities Administrators Association and the U.S. National Futures Association
New York State
LOCATION6 w/ the·3 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ the·3 w/ the
Internal Revenue Service
ORGANIZATION6 w/ the·3 w/ the
Lehman
ORGANIZATION6 w/ the·3 w/ the
Dept. of
ORGANIZATION6 w/ the·3 w/ the
Cease & Desist
ORGANIZATION6 w/ the·3 w/ the
Lehman Structured Products
ORGANIZATION6 w/ the·3 w/ the
UBS Securities LLC
ORGANIZATION6 w/ the·3 w/ the
the Securities and Exchange Commission
ORGANIZATION6 w/ the·3 w/ the
New Hampshire
LOCATION6 w/ the·3 w/ the
Federal Reserve
ORGANIZATION5 w/ the·3 w/ the
the Financial Advisor's
ORGANIZATION5 w/ the·3 w/ the
Parent Company
ORGANIZATION5 w/ the·3 w/ the
Department of Justice
ORGANIZATION5 w/ the·3 w/ the
UBS AG
ORGANIZATION5 w/ the·3 w/ the
Fannie Mae
ORGANIZATION5 w/ the·3 w/ the
UBS Fund
ORGANIZATION5 w/ the·3 w/ the
General State of NY
ORGANIZATION5 w/ the·3 w/ the
Brought
ORGANIZATION5 w/ the·3 w/ the
The Ohio Division of Securities
ORGANIZATION5 w/ the·3 w/ the