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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 UBS Securities LLC) agreed to pay a
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so 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 oth
2 mentions1 same-page
Page ?Same page
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 UBS Securities LLC) agreed to pay a
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so 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 oth
2 mentions1 same-page
Page ?Same page
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 UBS Securities LLC) agreed to pay a
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so 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 oth
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Mutual Connections (126)
Entities connected to both Cease & Desist and the Negative Basis
the Securities and Exchange Commission
ORGANIZATION8 w/ Cease·3 w/ the
UBS Securities LLC
ORGANIZATION8 w/ Cease·3 w/ the
Federal Reserve
ORGANIZATION7 w/ Cease·3 w/ the
Department of Justice
ORGANIZATION7 w/ Cease·3 w/ the
UBS Fund
ORGANIZATION7 w/ Cease·3 w/ the
UBS AG
ORGANIZATION7 w/ Cease·3 w/ the
Fannie Mae
ORGANIZATION7 w/ Cease·3 w/ the
Lehman Structured Products
ORGANIZATION6 w/ Cease·3 w/ the
the North American Securities Administrators Association
ORGANIZATION6 w/ Cease·3 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ Cease·3 w/ the
Dept. of
ORGANIZATION6 w/ Cease·3 w/ the
New Hampshire
LOCATION6 w/ Cease·3 w/ the
United States
LOCATION6 w/ Cease·3 w/ the
New York State
LOCATION6 w/ Cease·3 w/ the
Lehman
ORGANIZATION6 w/ Cease·3 w/ the
Internal Revenue Service
ORGANIZATION6 w/ Cease·3 w/ the
Ghislaine Maxwell
PERSON6 w/ Cease·2 w/ the
the Financial Advisor's
ORGANIZATION5 w/ Cease·3 w/ the
Parent Company
ORGANIZATION5 w/ Cease·3 w/ the
Civil Penalty
ORGANIZATION5 w/ Cease·3 w/ the