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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
o allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the other Members in such manner as shall equitably reflect the amounts allocated to such Members' Capital Accounts pursuant to Sections 5.3(c)
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
o allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the other Members in such manner as shall equitably reflect the amounts allocated to such Members' Capital Accounts pursuant to Sections 5.3(c)
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
o allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the other Members in such manner as shall equitably reflect the amounts allocated to such Members' Capital Accounts pursuant to Sections 5.3(c)
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Mutual Connections (126)
Entities connected to both Civil Penalty and Negative Basis Members
Lehman
ORGANIZATION5 w/ Civil·3 w/ Negative
New Hampshire
LOCATION5 w/ Civil·3 w/ Negative
Brought
ORGANIZATION5 w/ Civil·3 w/ Negative
The Ohio Division of Securities
ORGANIZATION5 w/ Civil·3 w/ Negative
Back Taxes Payment
ORGANIZATION5 w/ Civil·3 w/ Negative
Swiss Federal Banking Commission
ORGANIZATION5 w/ Civil·3 w/ Negative
Fannie Mae
ORGANIZATION5 w/ Civil·3 w/ Negative
the Financial Advisor's
ORGANIZATION5 w/ Civil·3 w/ Negative
Parent Company
ORGANIZATION5 w/ Civil·3 w/ Negative
Dept. of
ORGANIZATION5 w/ Civil·3 w/ Negative
UBS Securities LLC
ORGANIZATION5 w/ Civil·3 w/ Negative
the Securities and Exchange Commission
ORGANIZATION5 w/ Civil·3 w/ Negative
Department of Justice
ORGANIZATION5 w/ Civil·3 w/ Negative
New York State
LOCATION5 w/ Civil·3 w/ Negative
Internal Revenue Service
ORGANIZATION5 w/ Civil·3 w/ Negative
UBS AG
ORGANIZATION5 w/ Civil·3 w/ Negative
Federal Reserve
ORGANIZATION5 w/ Civil·3 w/ Negative
UBS Fund
ORGANIZATION5 w/ Civil·3 w/ Negative
Lehman Structured Products
ORGANIZATION5 w/ Civil·3 w/ Negative
Massachusetts Securities Division
ORGANIZATION5 w/ Civil·3 w/ Negative