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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
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the oth
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
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the oth
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
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the oth
Sponsored
Mutual Connections (126)
Entities connected to both Back Taxes Payment and the Negative Basis
Fannie Mae
ORGANIZATION5 w/ Back·3 w/ the
New Hampshire
LOCATION5 w/ Back·3 w/ the
the Financial Advisor's
ORGANIZATION5 w/ Back·3 w/ the
Parent Company
ORGANIZATION5 w/ Back·3 w/ the
Dept. of
ORGANIZATION5 w/ Back·3 w/ the
The Ohio Division of Securities
ORGANIZATION5 w/ Back·3 w/ the
Swiss Federal Banking Commission
ORGANIZATION5 w/ Back·3 w/ the
Federal Reserve
ORGANIZATION5 w/ Back·3 w/ the
Samantha Power
PERSON4 w/ Back·4 w/ the
Lehman
ORGANIZATION5 w/ Back·3 w/ the
UBS Securities LLC
ORGANIZATION5 w/ Back·3 w/ the
the Securities and Exchange Commission
ORGANIZATION5 w/ Back·3 w/ the
Department of Justice
ORGANIZATION5 w/ Back·3 w/ the
New York State
LOCATION5 w/ Back·3 w/ the
Internal Revenue Service
ORGANIZATION5 w/ Back·3 w/ the
UBS AG
ORGANIZATION5 w/ Back·3 w/ the
UBS Fund
ORGANIZATION5 w/ Back·3 w/ the
Lehman Structured Products
ORGANIZATION5 w/ Back·3 w/ the
Massachusetts Securities Division
ORGANIZATION5 w/ Back·3 w/ the
the North American Securities Administrators Association
ORGANIZATION5 w/ Back·3 w/ the