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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
to Section 4.1 hereof, in such person's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time
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
to Section 4.1 hereof, in such person's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time
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
to Section 4.1 hereof, in such person's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time
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Mutual Connections (126)
Entities connected to both Cease & Desist and Millennium Investment
UBS Securities LLC
ORGANIZATION8 w/ Cease·3 w/ Millennium
the Securities and Exchange Commission
ORGANIZATION8 w/ Cease·3 w/ Millennium
Fannie Mae
ORGANIZATION7 w/ Cease·3 w/ Millennium
Department of Justice
ORGANIZATION7 w/ Cease·3 w/ Millennium
UBS AG
ORGANIZATION7 w/ Cease·3 w/ Millennium
UBS Fund
ORGANIZATION7 w/ Cease·3 w/ Millennium
Federal Reserve
ORGANIZATION7 w/ Cease·3 w/ Millennium
Massachusetts Securities Division
ORGANIZATION6 w/ Cease·3 w/ Millennium
the North American Securities Administrators Association
ORGANIZATION6 w/ Cease·3 w/ Millennium
United States
LOCATION6 w/ Cease·3 w/ Millennium
New York State
LOCATION6 w/ Cease·3 w/ Millennium
Dept. of
ORGANIZATION6 w/ Cease·3 w/ Millennium
Internal Revenue Service
ORGANIZATION6 w/ Cease·3 w/ Millennium
New Hampshire
LOCATION6 w/ Cease·3 w/ Millennium
Lehman
ORGANIZATION6 w/ Cease·3 w/ Millennium
Lehman Structured Products
ORGANIZATION6 w/ Cease·3 w/ Millennium
Civil Penalty
ORGANIZATION5 w/ Cease·3 w/ Millennium
Ghislaine Maxwell
PERSON6 w/ Cease·2 w/ Millennium
the Financial Advisor's
ORGANIZATION5 w/ Cease·3 w/ Millennium
General State of NY
ORGANIZATION5 w/ Cease·3 w/ Millennium