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terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
y the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no substantive limits on the investment strategies that may be pursued by the Fund. The Fund's capital may be invested in strategies othe
2 mentions1 same-page
Page ?Same page
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
y the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no substantive limits on the investment strategies that may be pursued by the Fund. The Fund's capital may be invested in strategies othe
2 mentions1 same-page
Page ?Same page
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
y the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no substantive limits on the investment strategies that may be pursued by the Fund. The Fund's capital may be invested in strategies othe
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Mutual Connections (126)
Entities connected to both Back Taxes Payment and Strategy Development
New York State
LOCATION5 w/ Back·4 w/ Strategy
UBS Securities LLC
ORGANIZATION5 w/ Back·4 w/ Strategy
Federal Reserve
ORGANIZATION5 w/ Back·4 w/ Strategy
United States
LOCATION4 w/ Back·4 w/ Strategy
Lehman
ORGANIZATION5 w/ Back·3 w/ Strategy
Parent Company
ORGANIZATION5 w/ Back·3 w/ Strategy
Dept. of
ORGANIZATION5 w/ Back·3 w/ Strategy
Swiss Federal Banking Commission
ORGANIZATION5 w/ Back·3 w/ Strategy
Internal Revenue Service
ORGANIZATION5 w/ Back·3 w/ Strategy
New Hampshire
LOCATION5 w/ Back·3 w/ Strategy
Fannie Mae
ORGANIZATION5 w/ Back·3 w/ Strategy
the Securities and Exchange Commission
ORGANIZATION5 w/ Back·3 w/ Strategy
UBS AG
ORGANIZATION5 w/ Back·3 w/ Strategy
the Financial Advisor's
ORGANIZATION5 w/ Back·3 w/ Strategy
Department of Justice
ORGANIZATION5 w/ Back·3 w/ Strategy
UBS Fund
ORGANIZATION5 w/ Back·3 w/ Strategy
Lehman Structured Products
ORGANIZATION5 w/ Back·3 w/ Strategy
Massachusetts Securities Division
ORGANIZATION5 w/ Back·3 w/ Strategy
the North American Securities Administrators Association
ORGANIZATION5 w/ Back·3 w/ Strategy
Civil Penalty
ORGANIZATION5 w/ Back·3 w/ Strategy