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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
s of 50% (or such other specified percentage) of the aggregate Capital Account balances of all Members. Majority (or other specified percentage) in Unaffiliated Interest means, as of any date, one or more Unaffiliated Members that then in the aggregate have Unaffiliated Fund Percentages in excess of 50% (or such oth
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
s of 50% (or such other specified percentage) of the aggregate Capital Account balances of all Members. Majority (or other specified percentage) in Unaffiliated Interest means, as of any date, one or more Unaffiliated Members that then in the aggregate have Unaffiliated Fund Percentages in excess of 50% (or such oth
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
s of 50% (or such other specified percentage) of the aggregate Capital Account balances of all Members. Majority (or other specified percentage) in Unaffiliated Interest means, as of any date, one or more Unaffiliated Members that then in the aggregate have Unaffiliated Fund Percentages in excess of 50% (or such oth
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Mutual Connections (126)
Entities connected to both Civil Penalty and Unaffiliated Interest
Lehman
ORGANIZATION5 w/ Civil·3 w/ Unaffiliated
New Hampshire
LOCATION5 w/ Civil·3 w/ Unaffiliated
Brought
ORGANIZATION5 w/ Civil·3 w/ Unaffiliated
The Ohio Division of Securities
ORGANIZATION5 w/ Civil·3 w/ Unaffiliated
Back Taxes Payment
ORGANIZATION5 w/ Civil·3 w/ Unaffiliated
Swiss Federal Banking Commission
ORGANIZATION5 w/ Civil·3 w/ Unaffiliated
Fannie Mae
ORGANIZATION5 w/ Civil·3 w/ Unaffiliated
the Financial Advisor's
ORGANIZATION5 w/ Civil·3 w/ Unaffiliated
Parent Company
ORGANIZATION5 w/ Civil·3 w/ Unaffiliated
Dept. of
ORGANIZATION5 w/ Civil·3 w/ Unaffiliated
UBS Securities LLC
ORGANIZATION5 w/ Civil·3 w/ Unaffiliated
the Securities and Exchange Commission
ORGANIZATION5 w/ Civil·3 w/ Unaffiliated
Department of Justice
ORGANIZATION5 w/ Civil·3 w/ Unaffiliated
New York State
LOCATION5 w/ Civil·3 w/ Unaffiliated
Internal Revenue Service
ORGANIZATION5 w/ Civil·3 w/ Unaffiliated
UBS AG
ORGANIZATION5 w/ Civil·3 w/ Unaffiliated
Federal Reserve
ORGANIZATION5 w/ Civil·3 w/ Unaffiliated
UBS Fund
ORGANIZATION5 w/ Civil·3 w/ Unaffiliated
Lehman Structured Products
ORGANIZATION5 w/ Civil·3 w/ Unaffiliated
Massachusetts Securities Division
ORGANIZATION5 w/ Civil·3 w/ Unaffiliated