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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
ommencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period. The sum of the Fund Percentages of all Members for each Fiscal Period shall equal 100%. GAAP means U.S. generally accepted accounting principles. Indemnified Person shall have th
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
ommencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period. The sum of the Fund Percentages of all Members for each Fiscal Period shall equal 100%. GAAP means U.S. generally accepted accounting principles. Gate shall have the meaning set
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
ommencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period. The sum of the Fund Percentages of all Members for each Fiscal Period shall equal 100%. GAAP means U.S. generally accepted accounting principles. Gate shall have the meaning set
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Mutual Connections (126)
Entities connected to both Cease & Desist and the Fund Percentages
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