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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
y loans or other similar arrangements to facilitate the Fund's investment activities, including in other jurisdictions, in the future. Compliance, Legal and Ethics Oversight (CLEO) Committee The CLEO Committee is responsible for reviewing firm-wide compliance, legal and ethics issues throughout Millennium's business as
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
y loans or other similar arrangements to facilitate the Fund's investment activities, including in other jurisdictions, in the future. Compliance, Legal and Ethics Oversight (CLEO) Committee The CLEO Committee is responsible for reviewing firm-wide compliance, legal and ethics issues throughout Millennium's business as
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
y loans or other similar arrangements to facilitate the Fund's investment activities, including in other jurisdictions, in the future. Compliance, Legal and Ethics Oversight (CLEO) Committee The CLEO Committee is responsible for reviewing firm-wide compliance, legal and ethics issues throughout Millennium's business as
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Mutual Connections (126)
Entities connected to both Civil Penalty and Legal and Ethics Oversight
Lehman
ORGANIZATION5 w/ Civil·3 w/ Legal
New Hampshire
LOCATION5 w/ Civil·3 w/ Legal
Brought
ORGANIZATION5 w/ Civil·3 w/ Legal
The Ohio Division of Securities
ORGANIZATION5 w/ Civil·3 w/ Legal
Back Taxes Payment
ORGANIZATION5 w/ Civil·3 w/ Legal
Swiss Federal Banking Commission
ORGANIZATION5 w/ Civil·3 w/ Legal
Fannie Mae
ORGANIZATION5 w/ Civil·3 w/ Legal
the Financial Advisor's
ORGANIZATION5 w/ Civil·3 w/ Legal
Parent Company
ORGANIZATION5 w/ Civil·3 w/ Legal
Dept. of
ORGANIZATION5 w/ Civil·3 w/ Legal
UBS Securities LLC
ORGANIZATION5 w/ Civil·3 w/ Legal
the Securities and Exchange Commission
ORGANIZATION5 w/ Civil·3 w/ Legal
Department of Justice
ORGANIZATION5 w/ Civil·3 w/ Legal
New York State
LOCATION5 w/ Civil·3 w/ Legal
Internal Revenue Service
ORGANIZATION5 w/ Civil·3 w/ Legal
UBS AG
ORGANIZATION5 w/ Civil·3 w/ Legal
Federal Reserve
ORGANIZATION5 w/ Civil·3 w/ Legal
UBS Fund
ORGANIZATION5 w/ Civil·3 w/ Legal
Lehman Structured Products
ORGANIZATION5 w/ Civil·3 w/ Legal
Massachusetts Securities Division
ORGANIZATION5 w/ Civil·3 w/ Legal