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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
ennium Global Estate GP is registered with the CFTC as a commodity pool operator ("CPO"), as a commodity trading advisor ("CTA") and is a member of the U.S. National Futures Association. In addition, Mr. Englander, the ultimate control person of each of the General Partner, Millennium International Management and Millennium Global
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
. Commodity Futures Trading Commission (the "CFTC") as a commodity pool operator ("CPO"), as a commodity trading advisor ("CTA") and is a member of the U.S. National Futures Association. In addition, Israel Englander, the managing member or control person of each of the General Partner, Millennium International Management and Mille
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
. Commodity Futures Trading Commission (the "CFTC") as a commodity pool operator ("CPO"), as a commodity trading advisor ("CTA") and is a member of the U.S. National Futures Association. In addition, Israel Englander, the managing member or control person of each of the General Partner, Millennium International Management and Mille
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Mutual Connections (126)
Entities connected to both Civil Penalty and the U.S. National Futures Association
Lehman
ORGANIZATION5 w/ Civil·3 w/ the
New Hampshire
LOCATION5 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
Fannie Mae
ORGANIZATION5 w/ Civil·3 w/ the
the Financial Advisor's
ORGANIZATION5 w/ Civil·3 w/ the
Parent Company
ORGANIZATION5 w/ Civil·3 w/ the
Dept. of
ORGANIZATION5 w/ Civil·3 w/ the
UBS Securities LLC
ORGANIZATION5 w/ Civil·3 w/ the
the Securities and Exchange Commission
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
UBS AG
ORGANIZATION5 w/ Civil·3 w/ the
Federal Reserve
ORGANIZATION5 w/ Civil·3 w/ the
UBS Fund
ORGANIZATION5 w/ Civil·3 w/ the
Lehman Structured Products
ORGANIZATION5 w/ Civil·3 w/ the
Massachusetts Securities Division
ORGANIZATION5 w/ Civil·3 w/ the