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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
to Section 4.1 hereof, in such person's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time
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
to Section 4.1 hereof, in such person's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time
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
to Section 4.1 hereof, in such person's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time
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Mutual Connections (126)
Entities connected to both Civil Penalty and Millennium Investment
Lehman
ORGANIZATION5 w/ Civil·3 w/ Millennium
New Hampshire
LOCATION5 w/ Civil·3 w/ Millennium
Brought
ORGANIZATION5 w/ Civil·3 w/ Millennium
The Ohio Division of Securities
ORGANIZATION5 w/ Civil·3 w/ Millennium
Back Taxes Payment
ORGANIZATION5 w/ Civil·3 w/ Millennium
Swiss Federal Banking Commission
ORGANIZATION5 w/ Civil·3 w/ Millennium
Fannie Mae
ORGANIZATION5 w/ Civil·3 w/ Millennium
the Financial Advisor's
ORGANIZATION5 w/ Civil·3 w/ Millennium
Parent Company
ORGANIZATION5 w/ Civil·3 w/ Millennium
Dept. of
ORGANIZATION5 w/ Civil·3 w/ Millennium
UBS Securities LLC
ORGANIZATION5 w/ Civil·3 w/ Millennium
the Securities and Exchange Commission
ORGANIZATION5 w/ Civil·3 w/ Millennium
Department of Justice
ORGANIZATION5 w/ Civil·3 w/ Millennium
New York State
LOCATION5 w/ Civil·3 w/ Millennium
Internal Revenue Service
ORGANIZATION5 w/ Civil·3 w/ Millennium
UBS AG
ORGANIZATION5 w/ Civil·3 w/ Millennium
Federal Reserve
ORGANIZATION5 w/ Civil·3 w/ Millennium
UBS Fund
ORGANIZATION5 w/ Civil·3 w/ Millennium
Lehman Structured Products
ORGANIZATION5 w/ Civil·3 w/ Millennium
Massachusetts Securities Division
ORGANIZATION5 w/ Civil·3 w/ Millennium