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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
meeting is to be called shall be provided to the Manager. In the case of a meeting called by the Soliciting Members for the purpose of terminating the Administrative Services Agreement or removing the Administrator pursuant to the Administrative Services Agreement, such written proposal shall also set forth the name, qualification
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
meeting is to be called shall be provided to the Manager. In the case of a meeting called by the Soliciting Members for the purpose of terminating the Administrative Services Agreement or removing the Administrator pursuant to the Administrative Services Agreement, such written proposal shall also set forth the name, qualification
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
meeting is to be called shall be provided to the Manager. In the case of a meeting called by the Soliciting Members for the purpose of terminating the Administrative Services Agreement or removing the Administrator pursuant to the Administrative Services Agreement, such written proposal shall also set forth the name, qualification
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Mutual Connections (126)
Entities connected to both Civil Penalty and the Administrative Services Agreement
UBS AG
ORGANIZATION5 w/ Civil·5 w/ the
Federal Reserve
ORGANIZATION5 w/ Civil·4 w/ the
UBS Fund
ORGANIZATION5 w/ Civil·4 w/ the
the Securities and Exchange Commission
ORGANIZATION5 w/ Civil·4 w/ the
United States
LOCATION4 w/ Civil·5 w/ the
Fannie Mae
ORGANIZATION5 w/ Civil·4 w/ the
UBS Fund Advisor
ORGANIZATION4 w/ Civil·5 w/ the
Lehman
ORGANIZATION5 w/ Civil·3 w/ the
General State of NY
ORGANIZATION5 w/ Civil·3 w/ the
Brought
ORGANIZATION5 w/ Civil·3 w/ the
The Ohio Division of Securities
ORGANIZATION5 w/ Civil·3 w/ the
Back Taxes Payment
ORGANIZATION5 w/ Civil·3 w/ the
Swiss Federal Banking Commission
ORGANIZATION5 w/ Civil·3 w/ the
UBS Securities LLC
ORGANIZATION5 w/ Civil·3 w/ the
Department of Justice
ORGANIZATION5 w/ Civil·3 w/ the
New York State
LOCATION5 w/ Civil·3 w/ the
Internal Revenue Service
ORGANIZATION5 w/ Civil·3 w/ the
Ernst & Young LLP
ORGANIZATION3 w/ Civil·5 w/ the
New Hampshire
LOCATION5 w/ Civil·3 w/ the
Lehman Structured Products
ORGANIZATION5 w/ Civil·3 w/ the