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Document Mentions (3 shared documents)
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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
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
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
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
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
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
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Mutual Connections (126)
Entities connected to both Back Taxes Payment and the applicable Portfolio Managers
Lehman
ORGANIZATION5 w/ Back·3 w/ the
New Hampshire
LOCATION5 w/ Back·3 w/ the
General State of NY
ORGANIZATION5 w/ Back·3 w/ the
Brought
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
Fannie Mae
ORGANIZATION5 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
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
Federal Reserve
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