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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
to supervise. Disposition: Fine Fine: 595,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By. Secretary of State of 47 States and Washington Allegations: Violation of Securities Act regulations regarding research practices and conflicts o
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
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington M. Allegations: Violation of Securities Act regulations regarding research practices and conflict
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
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Violation of Securities Act regulations regarding research practices and confli
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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
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Violation of Securities Act regulations regarding research practices and confli
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
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington M. Allegations: Violation of Securities Act regulations regarding research practices and conflict
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Mutual Connections (130)
Entities connected to both Civil Penalty and Brought
The Ohio Division of Securities
ORGANIZATION5 w/ Civil·7 w/ Brought
UBS Securities LLC
ORGANIZATION5 w/ Civil·7 w/ Brought
New Hampshire
LOCATION5 w/ Civil·5 w/ Brought
the Financial Advisor's
ORGANIZATION5 w/ Civil·5 w/ Brought
Parent Company
ORGANIZATION5 w/ Civil·5 w/ Brought
Dept. of
ORGANIZATION5 w/ Civil·5 w/ Brought
Swiss Federal Banking Commission
ORGANIZATION5 w/ Civil·5 w/ Brought
Lehman
ORGANIZATION5 w/ Civil·5 w/ Brought
Fannie Mae
ORGANIZATION5 w/ Civil·5 w/ Brought
Lehman Structured Products
ORGANIZATION5 w/ Civil·5 w/ Brought
Massachusetts Securities Division
ORGANIZATION5 w/ Civil·5 w/ Brought
the North American Securities Administrators Association
ORGANIZATION5 w/ Civil·5 w/ Brought
Cease & Desist
ORGANIZATION5 w/ Civil·5 w/ Brought
General State of NY
ORGANIZATION5 w/ Civil·5 w/ Brought
Federal Reserve
ORGANIZATION5 w/ Civil·5 w/ Brought
the Securities and Exchange Commission
ORGANIZATION5 w/ Civil·5 w/ Brought
Department of Justice
ORGANIZATION5 w/ Civil·5 w/ Brought
New York State
LOCATION5 w/ Civil·5 w/ Brought
Internal Revenue Service
ORGANIZATION5 w/ Civil·5 w/ Brought
UBS AG
ORGANIZATION5 w/ Civil·5 w/ Brought