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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
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (DO;), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DOJ, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
Sponsored
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
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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Mutual Connections (127)
Entities connected to both Civil Penalty and Connecticut Department
Lehman
ORGANIZATION5 w/ Civil·4 w/ Connecticut
Fannie Mae
ORGANIZATION5 w/ Civil·4 w/ Connecticut
Brought
ORGANIZATION5 w/ Civil·4 w/ Connecticut
The Ohio Division of Securities
ORGANIZATION5 w/ Civil·4 w/ Connecticut
UBS AG
ORGANIZATION5 w/ Civil·4 w/ Connecticut
Federal Reserve
ORGANIZATION5 w/ Civil·4 w/ Connecticut
Swiss Federal Banking Commission
ORGANIZATION5 w/ Civil·4 w/ Connecticut
New Hampshire
LOCATION5 w/ Civil·4 w/ Connecticut
the Financial Advisor's
ORGANIZATION5 w/ Civil·4 w/ Connecticut
Parent Company
ORGANIZATION5 w/ Civil·4 w/ Connecticut
Dept. of
ORGANIZATION5 w/ Civil·4 w/ Connecticut
Back Taxes Payment
ORGANIZATION5 w/ Civil·4 w/ Connecticut
UBS Securities LLC
ORGANIZATION5 w/ Civil·4 w/ Connecticut
the Securities and Exchange Commission
ORGANIZATION5 w/ Civil·4 w/ Connecticut
Department of Justice
ORGANIZATION5 w/ Civil·4 w/ Connecticut
New York State
LOCATION5 w/ Civil·4 w/ Connecticut
Internal Revenue Service
ORGANIZATION5 w/ Civil·4 w/ Connecticut
UBS Fund
ORGANIZATION5 w/ Civil·4 w/ Connecticut
Lehman Structured Products
ORGANIZATION5 w/ Civil·4 w/ Connecticut
Massachusetts Securities Division
ORGANIZATION5 w/ Civil·4 w/ Connecticut