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Document Mentions (4 shared documents)
2 mentions1 same-page
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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
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (DO;), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DOJ, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
Sponsored
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
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
Sponsored
Mutual Connections (127)
Entities connected to both Cease & Desist and Connecticut Department
the Securities and Exchange Commission
ORGANIZATION8 w/ Cease·4 w/ Connecticut
UBS Securities LLC
ORGANIZATION8 w/ Cease·4 w/ Connecticut
Federal Reserve
ORGANIZATION7 w/ Cease·4 w/ Connecticut
Department of Justice
ORGANIZATION7 w/ Cease·4 w/ Connecticut
UBS AG
ORGANIZATION7 w/ Cease·4 w/ Connecticut
UBS Fund
ORGANIZATION7 w/ Cease·4 w/ Connecticut
Fannie Mae
ORGANIZATION7 w/ Cease·4 w/ Connecticut
Lehman
ORGANIZATION6 w/ Cease·4 w/ Connecticut
New Hampshire
LOCATION6 w/ Cease·4 w/ Connecticut
Dept. of
ORGANIZATION6 w/ Cease·4 w/ Connecticut
United States
LOCATION6 w/ Cease·4 w/ Connecticut
New York State
LOCATION6 w/ Cease·4 w/ Connecticut
Internal Revenue Service
ORGANIZATION6 w/ Cease·4 w/ Connecticut
Lehman Structured Products
ORGANIZATION6 w/ Cease·4 w/ Connecticut
Massachusetts Securities Division
ORGANIZATION6 w/ Cease·4 w/ Connecticut
the North American Securities Administrators Association
ORGANIZATION6 w/ Cease·4 w/ Connecticut
Parent Company
ORGANIZATION5 w/ Cease·4 w/ Connecticut
Ghislaine Maxwell
PERSON6 w/ Cease·3 w/ Connecticut
Swiss Federal Banking Commission
ORGANIZATION5 w/ Cease·4 w/ Connecticut
Back Taxes Payment
ORGANIZATION5 w/ Cease·4 w/ Connecticut