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the North American Securities Administrators Association
ORGANIZATIONUBS Financial Services'
ORGANIZATION3
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Document Mentions (3 shared documents)
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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
ments with the SEC, the IRS, the DOJ and a group of State Attorneys General regarding investigations into the conduct of certain former employees in UBS Financial Services' former municipal reinvestment and derivatives group from 2001 to 2006. Allegations included violations of: Section 15(c)(1XA) of the Securities Exc
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
ments with the SEC, the IRS, the DOJ and a group of State Attorneys General regarding investigations into the conduct of certain former employees in UBS Financial Services' former municipal reinvestment and derivatives group from 2001 to 2006. Allegations included violations of: Section 15(c)(1XA) of the Securities Exc
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
ments with the SEC, the IRS, the D01 and a group of State Attorneys General regarding investigations into the conduct of certain former employees in UBS Financial Services' former municipal reinvestment and derivatives group from 2001 to 2006. Allegations included violations of: Section 15(c)(1XA) of the Securities Exc
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Mutual Connections (126)
Entities connected to both the North American Securities Administrators Association and UBS Financial Services'
New York State
LOCATION6 w/ the·3 w/ UBS
Massachusetts Securities Division
ORGANIZATION6 w/ the·3 w/ UBS
Internal Revenue Service
ORGANIZATION6 w/ the·3 w/ UBS
Lehman
ORGANIZATION6 w/ the·3 w/ UBS
Dept. of
ORGANIZATION6 w/ the·3 w/ UBS
Cease & Desist
ORGANIZATION6 w/ the·3 w/ UBS
Lehman Structured Products
ORGANIZATION6 w/ the·3 w/ UBS
UBS Securities LLC
ORGANIZATION6 w/ the·3 w/ UBS
the Securities and Exchange Commission
ORGANIZATION6 w/ the·3 w/ UBS
New Hampshire
LOCATION6 w/ the·3 w/ UBS
Federal Reserve
ORGANIZATION5 w/ the·3 w/ UBS
the Financial Advisor's
ORGANIZATION5 w/ the·3 w/ UBS
Parent Company
ORGANIZATION5 w/ the·3 w/ UBS
Department of Justice
ORGANIZATION5 w/ the·3 w/ UBS
UBS AG
ORGANIZATION5 w/ the·3 w/ UBS
Fannie Mae
ORGANIZATION5 w/ the·3 w/ UBS
UBS Fund
ORGANIZATION5 w/ the·3 w/ UBS
General State of NY
ORGANIZATION5 w/ the·3 w/ UBS
Brought
ORGANIZATION5 w/ the·3 w/ UBS
The Ohio Division of Securities
ORGANIZATION5 w/ the·3 w/ UBS