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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
ailure to comply with these requests by the Monetary Authority may result in substantial fines on the part of the General Partner and may result in the Monetary Authority's applying to the court to have the Master Partnership wound up. The Monetary Authority may take certain actions if it is satisfied that a regulated
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
ailure to comply with these requests by the Monetary Authority may result in substantial fines on the part of the General Partner and may result in the Monetary Authority's applying to the court to have the Master Partnership wound up. The Monetary Authority may take certain actions if it is satisfied that a regulated
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
ailure to comply with these requests by the Monetary Authority may result in substantial fines on the part of the General Partner and may result in the Monetary Authority's applying to the court to have the Master Partnership wound up. The Monetary Authority may take certain actions if it is satisfied that a regulated
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Mutual Connections (126)
Entities connected to both Back Taxes Payment and the Monetary Authority's
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