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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
meeting is to be called shall be provided to the Manager. In the case of a meeting called by the Soliciting Members for the purpose of terminating the Administrative Services Agreement or removing the Administrator pursuant to the Administrative Services Agreement, such written proposal shall also set forth the name, qualification
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
meeting is to be called shall be provided to the Manager. In the case of a meeting called by the Soliciting Members for the purpose of terminating the Administrative Services Agreement or removing the Administrator pursuant to the Administrative Services Agreement, such written proposal shall also set forth the name, qualification
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
meeting is to be called shall be provided to the Manager. In the case of a meeting called by the Soliciting Members for the purpose of terminating the Administrative Services Agreement or removing the Administrator pursuant to the Administrative Services Agreement, such written proposal shall also set forth the name, qualification
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Mutual Connections (126)
Entities connected to both Cease & Desist and the Administrative Services Agreement
the Securities and Exchange Commission
ORGANIZATION8 w/ Cease·4 w/ the
UBS AG
ORGANIZATION7 w/ Cease·5 w/ the
UBS Securities LLC
ORGANIZATION8 w/ Cease·3 w/ the
Federal Reserve
ORGANIZATION7 w/ Cease·4 w/ the
UBS Fund
ORGANIZATION7 w/ Cease·4 w/ the
United States
LOCATION6 w/ Cease·5 w/ the
Fannie Mae
ORGANIZATION7 w/ Cease·4 w/ the
Department of Justice
ORGANIZATION7 w/ Cease·3 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ Cease·3 w/ the
Ghislaine Maxwell
PERSON6 w/ Cease·3 w/ the
Dept. of
ORGANIZATION6 w/ Cease·3 w/ the
the North American Securities Administrators Association
ORGANIZATION6 w/ Cease·3 w/ the
Lehman
ORGANIZATION6 w/ Cease·3 w/ the
UBS Fund Advisor
ORGANIZATION4 w/ Cease·5 w/ the
New York State
LOCATION6 w/ Cease·3 w/ the
Internal Revenue Service
ORGANIZATION6 w/ Cease·3 w/ the
New Hampshire
LOCATION6 w/ Cease·3 w/ the
Lehman Structured Products
ORGANIZATION6 w/ Cease·3 w/ the
General State of NY
ORGANIZATION5 w/ Cease·3 w/ the
Civil Penalty
ORGANIZATION5 w/ Cease·3 w/ the