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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
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of 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
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of 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
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of 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
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
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Mutual Connections (127)
Entities connected to both Civil Penalty and the Connecticut Department of Banking
Lehman
ORGANIZATION5 w/ Civil·4 w/ the
Fannie Mae
ORGANIZATION5 w/ Civil·4 w/ the
Brought
ORGANIZATION5 w/ Civil·4 w/ the
The Ohio Division of Securities
ORGANIZATION5 w/ Civil·4 w/ the
UBS AG
ORGANIZATION5 w/ Civil·4 w/ the
Federal Reserve
ORGANIZATION5 w/ Civil·4 w/ the
Swiss Federal Banking Commission
ORGANIZATION5 w/ Civil·4 w/ the
New Hampshire
LOCATION5 w/ Civil·4 w/ the
the Financial Advisor's
ORGANIZATION5 w/ Civil·4 w/ the
Parent Company
ORGANIZATION5 w/ Civil·4 w/ the
Dept. of
ORGANIZATION5 w/ Civil·4 w/ the
Back Taxes Payment
ORGANIZATION5 w/ Civil·4 w/ the
UBS Securities LLC
ORGANIZATION5 w/ Civil·4 w/ the
the Securities and Exchange Commission
ORGANIZATION5 w/ Civil·4 w/ the
Department of Justice
ORGANIZATION5 w/ Civil·4 w/ the
New York State
LOCATION5 w/ Civil·4 w/ the
Internal Revenue Service
ORGANIZATION5 w/ Civil·4 w/ the
UBS Fund
ORGANIZATION5 w/ Civil·4 w/ the
Lehman Structured Products
ORGANIZATION5 w/ Civil·4 w/ the
Massachusetts Securities Division
ORGANIZATION5 w/ Civil·4 w/ the