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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
books as of the first day of each Fiscal Period. The Fund Percentage of a Member for a Fiscal Period shall be determined by dividing the balance of the Member's Capital Account as of the commencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period.
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
books as of the first day of each Fiscal Period. The Fund Percentage of a Member for a Fiscal Period shall be determined by dividing the balance of the Member's Capital Account as of the commencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period.
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
books as of the first day of each Fiscal Period. The Fund Percentage of a Member for a Fiscal Period shall be determined by dividing the balance of the Member's Capital Account as of the commencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period.
Sponsored
Mutual Connections (126)
Entities connected to both Back Taxes Payment and the Member's Capital Account
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