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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
on-USD Shares, and the Feeder Funds may in the future offer other interests which have different functional currencies or reference assets. As with the Non-USD Shares, the terms of such interests may provide that the applicable Feeder Fund may seek to hedge the exposure of such interests to minimize, to the exten
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
on-USD Shares, and the Feeder Funds may in the future offer other interests which have different functional currencies or reference assets. As with the Non-USD Shares, the terms of such interests may provide that the applicable Feeder Fund will seek to hedge the exposure of such interests to minimize, to the exte
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
on-USD Shares, and the Feeder Funds may in the future offer other interests which have different functional currencies or reference assets. As with the Non-USD Shares, the terms of such interests may provide that the applicable Feeder Fund will seek to hedge the exposure of such interests to minimize, to the exte
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Mutual Connections (127)
Entities connected to both Civil Penalty and the Non-USD Shares
New York State
LOCATION5 w/ Civil·6 w/ the
Lehman
ORGANIZATION5 w/ Civil·5 w/ the
Mohammed bin Salman
PERSON3 w/ Civil·6 w/ the
England
LOCATION3 w/ Civil·6 w/ the
Cayman
LOCATION3 w/ Civil·6 w/ the
Cayman Islands Tax Matters
ORGANIZATION3 w/ Civil·6 w/ the
United States
LOCATION4 w/ Civil·5 w/ the
New York
LOCATION3 w/ Civil·6 w/ the
Millennium
ORGANIZATION3 w/ Civil·6 w/ the
the Mutual Funds Law
ORGANIZATION3 w/ Civil·6 w/ the
Ernst & Young LLP
ORGANIZATION3 w/ Civil·6 w/ the
the Cayman Islands Monetary Authority
ORGANIZATION3 w/ Civil·6 w/ the
Millennium USA LP
ORGANIZATION3 w/ Civil·6 w/ the
Internal Revenue Service
ORGANIZATION5 w/ Civil·3 w/ the
Swiss Federal Banking Commission
ORGANIZATION5 w/ Civil·3 w/ the
Back Taxes Payment
ORGANIZATION5 w/ Civil·3 w/ the
The Ohio Division of Securities
ORGANIZATION5 w/ Civil·3 w/ the
Brought
ORGANIZATION5 w/ Civil·3 w/ the
General State of NY
ORGANIZATION5 w/ Civil·3 w/ the
the Financial Advisor's
ORGANIZATION5 w/ Civil·3 w/ the