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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 this Agreement, the transferee shall succeed to the Capital Account of the transferor to the extent it relates to the transferred Interest. 5.4 Allocation of Net Profit and Net Loss. As of the last day of each Fiscal Period, any Net Profit or Net Loss for the Fiscal Period shall be allocated among and credited to or debited agai
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
f this Agreement, the transferee shall succeed to the Capital Account of the transferor to the extent it relates to the transferred Interest. 5.4 Allocation of Net Profit and Net Loss. As of the last day of each Fiscal Period, any Net Profit or Net Loss for the Fiscal Period shall be allocated among and credited to or debited agai
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
f this Agreement, the transferee shall succeed to the Capital Account of the transferor to the extent it relates to the transferred Interest. 5.4 Allocation of Net Profit and Net Loss. As of the last day of each Fiscal Period, any Net Profit or Net Loss for the Fiscal Period shall be allocated among and credited to or debited agai
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Mutual Connections (126)
Entities connected to both Cease & Desist and Allocation of Net Profit and Net Loss
UBS Securities LLC
ORGANIZATION8 w/ Cease·3 w/ Allocation
the Securities and Exchange Commission
ORGANIZATION8 w/ Cease·3 w/ Allocation
Fannie Mae
ORGANIZATION7 w/ Cease·3 w/ Allocation
Department of Justice
ORGANIZATION7 w/ Cease·3 w/ Allocation
UBS AG
ORGANIZATION7 w/ Cease·3 w/ Allocation
UBS Fund
ORGANIZATION7 w/ Cease·3 w/ Allocation
Federal Reserve
ORGANIZATION7 w/ Cease·3 w/ Allocation
Massachusetts Securities Division
ORGANIZATION6 w/ Cease·3 w/ Allocation
the North American Securities Administrators Association
ORGANIZATION6 w/ Cease·3 w/ Allocation
United States
LOCATION6 w/ Cease·3 w/ Allocation
New York State
LOCATION6 w/ Cease·3 w/ Allocation
Dept. of
ORGANIZATION6 w/ Cease·3 w/ Allocation
Internal Revenue Service
ORGANIZATION6 w/ Cease·3 w/ Allocation
New Hampshire
LOCATION6 w/ Cease·3 w/ Allocation
Lehman
ORGANIZATION6 w/ Cease·3 w/ Allocation
Lehman Structured Products
ORGANIZATION6 w/ Cease·3 w/ Allocation
Civil Penalty
ORGANIZATION5 w/ Cease·3 w/ Allocation
Ghislaine Maxwell
PERSON6 w/ Cease·2 w/ Allocation
the Financial Advisor's
ORGANIZATION5 w/ Cease·3 w/ Allocation
General State of NY
ORGANIZATION5 w/ Cease·3 w/ Allocation