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Document Mentions (5 shared documents)
2 mentions1 same-page
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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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement ($200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; $400,000,000 14. Date of Action: January 2011 Disposition: SIX Swiss Exchange Regulation OBS AG was fined for
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement ($200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: $380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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Mutual Connections (130)
Entities connected to both Civil Penalty and Back Taxes Payment
Lehman
ORGANIZATION5 w/ Civil·5 w/ Back
Fannie Mae
ORGANIZATION5 w/ Civil·5 w/ Back
New Hampshire
LOCATION5 w/ Civil·5 w/ Back
Massachusetts Securities Division
ORGANIZATION5 w/ Civil·5 w/ Back
the North American Securities Administrators Association
ORGANIZATION5 w/ Civil·5 w/ Back
Cease & Desist
ORGANIZATION5 w/ Civil·5 w/ Back
General State of NY
ORGANIZATION5 w/ Civil·5 w/ Back
Brought
ORGANIZATION5 w/ Civil·5 w/ Back
Federal Reserve
ORGANIZATION5 w/ Civil·5 w/ Back
the Financial Advisor's
ORGANIZATION5 w/ Civil·5 w/ Back
Parent Company
ORGANIZATION5 w/ Civil·5 w/ Back
Dept. of
ORGANIZATION5 w/ Civil·5 w/ Back
Swiss Federal Banking Commission
ORGANIZATION5 w/ Civil·5 w/ Back
UBS Securities LLC
ORGANIZATION5 w/ Civil·5 w/ Back
the Securities and Exchange Commission
ORGANIZATION5 w/ Civil·5 w/ Back
Department of Justice
ORGANIZATION5 w/ Civil·5 w/ Back
New York State
LOCATION5 w/ Civil·5 w/ Back
Internal Revenue Service
ORGANIZATION5 w/ Civil·5 w/ Back
UBS AG
ORGANIZATION5 w/ Civil·5 w/ Back
The Ohio Division of Securities
ORGANIZATION5 w/ Civil·5 w/ Back