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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
s, minimum initial Capital Contribution, assets underlying the Class, Sub-Class, tranches or Series and other terms. There shall be established two Classes of Fund Interests: Class A Interests and Class B Interests. In respect of each of Class A Interests and Class B Interests there shall be established two Sub-Classes
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
drawal rights, minimum initial Capital Contribution, assets underlying the Class or Series and other terms. There shall initially be established two Classes of Fund Interests: Advisory Class Interests and Brokerage Class Interests. New Series or Classes of Interests may be established by the Manager without providing not
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
drawal rights, minimum initial Capital Contribution, assets underlying the Class or Series and other terms. There shall initially be established two Classes of Fund Interests: Advisory Class Interests and Brokerage Class Interests. New Series or Classes of Interests may be established by the Manager without providing not
Entities connected to both Cease & Desist and Classes of Fund Interests
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