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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
ny other information about the business or financial condition of the Fund, about any other Member or former Member, induding information about the Capital Contribution or Capital Account balance of a Member, or about the affairs of the Fund. No act of the Fund, the Manager, or any other Person that results in a Member being furnishe
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
y other information about the business or financial condition of the Fund, about any other Member or former Member, including information about the Capital Contribution or Capital Account balance of a Member, or about the affairs of the Fund. No act of the Fund, the Manager, or any other Person that results in a Member being furnishe
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
y other information about the business or financial condition of the Fund, about any other Member or former Member, including information about the Capital Contribution or Capital Account balance of a Member, or about the affairs of the Fund. No act of the Fund, the Manager, or any other Person that results in a Member being furnishe
Entities connected to both Cease & Desist and Capital Contribution or Capital Account
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