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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
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
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
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
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
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
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Mutual Connections (126)
Entities connected to both Cease & Desist and Broker-Dealer
UBS Securities LLC
ORGANIZATION8 w/ Cease·3 w/ Broker-Dealer
the Securities and Exchange Commission
ORGANIZATION8 w/ Cease·3 w/ Broker-Dealer
Fannie Mae
ORGANIZATION7 w/ Cease·3 w/ Broker-Dealer
Department of Justice
ORGANIZATION7 w/ Cease·3 w/ Broker-Dealer
UBS AG
ORGANIZATION7 w/ Cease·3 w/ Broker-Dealer
UBS Fund
ORGANIZATION7 w/ Cease·3 w/ Broker-Dealer
Federal Reserve
ORGANIZATION7 w/ Cease·3 w/ Broker-Dealer
Massachusetts Securities Division
ORGANIZATION6 w/ Cease·3 w/ Broker-Dealer
the North American Securities Administrators Association
ORGANIZATION6 w/ Cease·3 w/ Broker-Dealer
United States
LOCATION6 w/ Cease·3 w/ Broker-Dealer
New York State
LOCATION6 w/ Cease·3 w/ Broker-Dealer
Dept. of
ORGANIZATION6 w/ Cease·3 w/ Broker-Dealer
Internal Revenue Service
ORGANIZATION6 w/ Cease·3 w/ Broker-Dealer
New Hampshire
LOCATION6 w/ Cease·3 w/ Broker-Dealer
Lehman
ORGANIZATION6 w/ Cease·3 w/ Broker-Dealer
Lehman Structured Products
ORGANIZATION6 w/ Cease·3 w/ Broker-Dealer
Civil Penalty
ORGANIZATION5 w/ Cease·3 w/ Broker-Dealer
Ghislaine Maxwell
PERSON6 w/ Cease·2 w/ Broker-Dealer
the Financial Advisor's
ORGANIZATION5 w/ Cease·3 w/ Broker-Dealer
General State of NY
ORGANIZATION5 w/ Cease·3 w/ Broker-Dealer