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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
ommencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period. The sum of the Fund Percentages of all Members for each Fiscal Period shall equal 100%. GAAP means U.S. generally accepted accounting principles. Indemnified Person shall have th
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
ommencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period. The sum of the Fund Percentages of all Members for each Fiscal Period shall equal 100%. GAAP means U.S. generally accepted accounting principles. Gate shall have the meaning set
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
ommencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period. The sum of the Fund Percentages of all Members for each Fiscal Period shall equal 100%. GAAP means U.S. generally accepted accounting principles. Gate shall have the meaning set
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Mutual Connections (126)
Entities connected to both Civil Penalty and the Fund Percentages
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