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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
f the Administrator. Withdrawal Date shall have the meaning set forth in Section 4.3(b) hereof. ARTICLE II—Organization; Admission of Members 2.1 Formation of Limited Liability Company. The Manager and any person designated by the Manager hereby are designated as authorized persons, within the meaning of the Delaware B-6 CONFIDEN
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
f the Administrator. Withdrawal Date shall have the meaning set forth in Section 4.3(b) hereof. ARTICLE II-Organization; Admission of Members 2.1 Formation of Limited Liability Company. The Manager and any person designated by the Manager hereby are designated as authorized persons, within the meaning of the Delaware Act, to execu
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
f the Administrator. Withdrawal Date shall have the meaning set forth in Section 4.3(b) hereof. ARTICLE II-Organization; Admission of Members 2.1 Formation of Limited Liability Company. The Manager and any person designated by the Manager hereby are designated as authorized persons, within the meaning of the Delaware Act, to execu
Entities connected to both Cease & Desist and Formation of Limited Liability Company
UBS Securities LLC
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATION
Fannie Mae
ORGANIZATION
Department of Justice
ORGANIZATION
UBS AG
ORGANIZATIONUBS Fund
ORGANIZATION
Federal Reserve
ORGANIZATIONMassachusetts Securities Division
ORGANIZATIONthe North American Securities Administrators Association
ORGANIZATION
United States
LOCATION
New York State
LOCATIONDept. of
ORGANIZATION
Internal Revenue Service
ORGANIZATION
New Hampshire
LOCATIONLehman
ORGANIZATIONLehman Structured Products
ORGANIZATIONCivil Penalty
ORGANIZATION
Ghislaine Maxwell
PERSONthe Financial Advisor's
ORGANIZATIONGeneral State of NY
ORGANIZATION