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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
ennium Global Estate GP is registered with the CFTC as a commodity pool operator ("CPO"), as a commodity trading advisor ("CTA") and is a member of the U.S. National Futures Association. In addition, Mr. Englander, the ultimate control person of each of the General Partner, Millennium International Management and Millennium Global
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
. Commodity Futures Trading Commission (the "CFTC") as a commodity pool operator ("CPO"), as a commodity trading advisor ("CTA") and is a member of the U.S. National Futures Association. In addition, Israel Englander, the managing member or control person of each of the General Partner, Millennium International Management and Mille
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
. Commodity Futures Trading Commission (the "CFTC") as a commodity pool operator ("CPO"), as a commodity trading advisor ("CTA") and is a member of the U.S. National Futures Association. In addition, Israel Englander, the managing member or control person of each of the General Partner, Millennium International Management and Mille
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Mutual Connections (126)
Entities connected to both Cease & Desist and the U.S. National Futures Association
UBS Securities LLC
ORGANIZATION8 w/ Cease·3 w/ the
the Securities and Exchange Commission
ORGANIZATION8 w/ Cease·3 w/ the
Fannie Mae
ORGANIZATION7 w/ Cease·3 w/ the
Department of Justice
ORGANIZATION7 w/ Cease·3 w/ the
UBS AG
ORGANIZATION7 w/ Cease·3 w/ the
UBS Fund
ORGANIZATION7 w/ Cease·3 w/ the
Federal Reserve
ORGANIZATION7 w/ Cease·3 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ Cease·3 w/ the
the North American Securities Administrators Association
ORGANIZATION6 w/ Cease·3 w/ the
United States
LOCATION6 w/ Cease·3 w/ the
New York State
LOCATION6 w/ Cease·3 w/ the
Dept. of
ORGANIZATION6 w/ Cease·3 w/ the
Internal Revenue Service
ORGANIZATION6 w/ Cease·3 w/ the
New Hampshire
LOCATION6 w/ Cease·3 w/ the
Lehman
ORGANIZATION6 w/ Cease·3 w/ the
Lehman Structured Products
ORGANIZATION6 w/ Cease·3 w/ the
Civil Penalty
ORGANIZATION5 w/ Cease·3 w/ the
Ghislaine Maxwell
PERSON6 w/ Cease·2 w/ the
the Financial Advisor's
ORGANIZATION5 w/ Cease·3 w/ the
General State of NY
ORGANIZATION5 w/ Cease·3 w/ the