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Document Mentions (5 shared documents)
2 mentions1 same-page
Page ?Same page
Allegations: violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a
2 mentions1 same-page
Page ?Same page
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a
2 mentions1 same-page
Page ?Same page
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a
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2 mentions1 same-page
Page ?Same page
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a
2 mentions1 same-page
Page ?Same page
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a
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Mutual Connections (130)
Entities connected to both Civil Penalty and Cease & Desist
the Securities and Exchange Commission
ORGANIZATION5 w/ Civil·8 w/ Cease
UBS Securities LLC
ORGANIZATION5 w/ Civil·8 w/ Cease
UBS Fund
ORGANIZATION5 w/ Civil·7 w/ Cease
UBS AG
ORGANIZATION5 w/ Civil·7 w/ Cease
Department of Justice
ORGANIZATION5 w/ Civil·7 w/ Cease
Federal Reserve
ORGANIZATION5 w/ Civil·7 w/ Cease
Fannie Mae
ORGANIZATION5 w/ Civil·7 w/ Cease
Lehman
ORGANIZATION5 w/ Civil·6 w/ Cease
New Hampshire
LOCATION5 w/ Civil·6 w/ Cease
Dept. of
ORGANIZATION5 w/ Civil·6 w/ Cease
New York State
LOCATION5 w/ Civil·6 w/ Cease
Internal Revenue Service
ORGANIZATION5 w/ Civil·6 w/ Cease
Lehman Structured Products
ORGANIZATION5 w/ Civil·6 w/ Cease
Massachusetts Securities Division
ORGANIZATION5 w/ Civil·6 w/ Cease
the North American Securities Administrators Association
ORGANIZATION5 w/ Civil·6 w/ Cease
the Financial Advisor's
ORGANIZATION5 w/ Civil·5 w/ Cease
Swiss Federal Banking Commission
ORGANIZATION5 w/ Civil·5 w/ Cease
Parent Company
ORGANIZATION5 w/ Civil·5 w/ Cease
Brought
ORGANIZATION5 w/ Civil·5 w/ Cease
The Ohio Division of Securities
ORGANIZATION5 w/ Civil·5 w/ Cease