Back to Network
3
Shared Docs
3
Same-Page
3 / 3
Mentions
Document Mentions (3 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
n favor of investors in the Fund. Allocation of Investment Strategies and Investments to and Among the Feeder Funds and Other Accounts; Conflicting Investment Opportunities; Cross Transactions In addition to the Feeder Funds and certain related entities through which the Portfolio Managers invest, Millennium has establ
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
icts in a manner that is fair and reasonable. Allocation of Investments to and Among Feeder Funds, Related Accounts and Other Accounts; Conflicting Investment Opportunities; Cross Transactions Although at present Millennium's only clients are the Master Partnership, the Feeder Funds and certain related entities through
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
icts in a manner that is fair and reasonable. Allocation of Investments to and Among Feeder Funds, Related Accounts and Other Accounts; Conflicting Investment Opportunities; Cross Transactions Although at present Millennium's only clients are the Master Partnership, the Feeder Funds and certain related entities through
Sponsored
Mutual Connections (126)
Entities connected to both Civil Penalty and Investment Opportunities
Federal Reserve
ORGANIZATION5 w/ Civil·4 w/ Investment
Department of Justice
ORGANIZATION5 w/ Civil·4 w/ Investment
Lehman Structured Products
ORGANIZATION5 w/ Civil·3 w/ Investment
Massachusetts Securities Division
ORGANIZATION5 w/ Civil·3 w/ Investment
the Securities and Exchange Commission
ORGANIZATION5 w/ Civil·3 w/ Investment
UBS AG
ORGANIZATION5 w/ Civil·3 w/ Investment
the North American Securities Administrators Association
ORGANIZATION5 w/ Civil·3 w/ Investment
the Financial Advisor's
ORGANIZATION5 w/ Civil·3 w/ Investment
Parent Company
ORGANIZATION5 w/ Civil·3 w/ Investment
Dept. of
ORGANIZATION5 w/ Civil·3 w/ Investment
Cease & Desist
ORGANIZATION5 w/ Civil·3 w/ Investment
Lehman
ORGANIZATION5 w/ Civil·3 w/ Investment
General State of NY
ORGANIZATION5 w/ Civil·3 w/ Investment
Brought
ORGANIZATION5 w/ Civil·3 w/ Investment
The Ohio Division of Securities
ORGANIZATION5 w/ Civil·3 w/ Investment
Back Taxes Payment
ORGANIZATION5 w/ Civil·3 w/ Investment
Swiss Federal Banking Commission
ORGANIZATION5 w/ Civil·3 w/ Investment
JPMorgan Chase
ORGANIZATION3 w/ Civil·5 w/ Investment
Fannie Mae
ORGANIZATION5 w/ Civil·3 w/ Investment
UBS Securities LLC
ORGANIZATION5 w/ Civil·3 w/ Investment