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Document Mentions (4 shared documents)
2 mentions1 same-page
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to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington M. Allegations: Violation of Securities Act regulations regarding research practices and conflict
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
2 mentions1 same-page
Page ?Same page
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Violation of Securities Act regulations regarding research practices and confli
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
2 mentions1 same-page
Page ?Same page
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Violation of Securities Act regulations regarding research practices and confli
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
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2 mentions1 same-page
Page ?Same page
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington M. Allegations: Violation of Securities Act regulations regarding research practices and conflict
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
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Mutual Connections (127)
Entities connected to both Brought and the Connecticut Department of Banking
The Ohio Division of Securities
ORGANIZATION7 w/ Brought·4 w/ the
UBS Securities LLC
ORGANIZATION7 w/ Brought·4 w/ the
New Hampshire
LOCATION5 w/ Brought·4 w/ the
the Financial Advisor's
ORGANIZATION5 w/ Brought·4 w/ the
Parent Company
ORGANIZATION5 w/ Brought·4 w/ the
Dept. of
ORGANIZATION5 w/ Brought·4 w/ the
Back Taxes Payment
ORGANIZATION5 w/ Brought·4 w/ the
Lehman
ORGANIZATION5 w/ Brought·4 w/ the
Fannie Mae
ORGANIZATION5 w/ Brought·4 w/ the
Cease & Desist
ORGANIZATION5 w/ Brought·4 w/ the
General State of NY
ORGANIZATION5 w/ Brought·4 w/ the
UBS AG
ORGANIZATION5 w/ Brought·4 w/ the
Federal Reserve
ORGANIZATION5 w/ Brought·4 w/ the
Swiss Federal Banking Commission
ORGANIZATION5 w/ Brought·4 w/ the
the Securities and Exchange Commission
ORGANIZATION5 w/ Brought·4 w/ the
Department of Justice
ORGANIZATION5 w/ Brought·4 w/ the
New York State
LOCATION5 w/ Brought·4 w/ the
Internal Revenue Service
ORGANIZATION5 w/ Brought·4 w/ the
UBS Fund
ORGANIZATION5 w/ Brought·4 w/ the
Lehman Structured Products
ORGANIZATION5 w/ Brought·4 w/ the