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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
f this Agreement, the transferee shall succeed to the Capital Account of the transferor to the extent it relates to the transferred Interest. 5.4 Allocation of Net Profit and Net Loss. As of the last day of each Fiscal Period, any Net Profit or Net Loss for the Fiscal Period shall be allocated among and credited to or debited agai
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
f this Agreement, the transferee shall succeed to the Capital Account of the transferor to the extent it relates to the transferred Interest. 5.4 Allocation of Net Profit and Net Loss. As of the last day of each Fiscal Period, any Net Profit or Net Loss for the Fiscal Period shall be allocated among and credited to or debited agai
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
f this Agreement, the transferee shall succeed to the Capital Account of the transferor to the extent it relates to the transferred Interest. 5.4 Allocation of Net Profit and Net Loss. As of the last day of each Fiscal Period, any Net Profit or Net Loss for the Fiscal Period shall be allocated among and credited to or debited agai
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Mutual Connections (126)
Entities connected to both Civil Penalty and Allocation of Net Profit and Net Loss
Lehman
ORGANIZATION5 w/ Civil·3 w/ Allocation
New Hampshire
LOCATION5 w/ Civil·3 w/ Allocation
Brought
ORGANIZATION5 w/ Civil·3 w/ Allocation
The Ohio Division of Securities
ORGANIZATION5 w/ Civil·3 w/ Allocation
Back Taxes Payment
ORGANIZATION5 w/ Civil·3 w/ Allocation
Swiss Federal Banking Commission
ORGANIZATION5 w/ Civil·3 w/ Allocation
Fannie Mae
ORGANIZATION5 w/ Civil·3 w/ Allocation
the Financial Advisor's
ORGANIZATION5 w/ Civil·3 w/ Allocation
Parent Company
ORGANIZATION5 w/ Civil·3 w/ Allocation
Dept. of
ORGANIZATION5 w/ Civil·3 w/ Allocation
UBS Securities LLC
ORGANIZATION5 w/ Civil·3 w/ Allocation
the Securities and Exchange Commission
ORGANIZATION5 w/ Civil·3 w/ Allocation
Department of Justice
ORGANIZATION5 w/ Civil·3 w/ Allocation
New York State
LOCATION5 w/ Civil·3 w/ Allocation
Internal Revenue Service
ORGANIZATION5 w/ Civil·3 w/ Allocation
UBS AG
ORGANIZATION5 w/ Civil·3 w/ Allocation
Federal Reserve
ORGANIZATION5 w/ Civil·3 w/ Allocation
UBS Fund
ORGANIZATION5 w/ Civil·3 w/ Allocation
Lehman Structured Products
ORGANIZATION5 w/ Civil·3 w/ Allocation
Massachusetts Securities Division
ORGANIZATION5 w/ Civil·3 w/ Allocation