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Document Mentions (3 shared documents)
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eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
2 mentions1 same-page
Page ?Same page
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
2 mentions1 same-page
Page ?Same page
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
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Mutual Connections (126)
Entities connected to both Broker-Dealer and the Connecticut Department of Banking
Fannie Mae
ORGANIZATION3 w/ Broker-Dealer·4 w/ the
New Hampshire
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Swiss Federal Banking Commission
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the Financial Advisor's
ORGANIZATION3 w/ Broker-Dealer·4 w/ the
Parent Company
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Dept. of
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Back Taxes Payment
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United States
LOCATION3 w/ Broker-Dealer·4 w/ the
UBS Securities LLC
ORGANIZATION3 w/ Broker-Dealer·4 w/ the
the Securities and Exchange Commission
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Department of Justice
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New York State
LOCATION3 w/ Broker-Dealer·4 w/ the
Connecticut Department
ORGANIZATION3 w/ Broker-Dealer·4 w/ the
Internal Revenue Service
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UBS AG
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UBS Fund
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Lehman Structured Products
ORGANIZATION3 w/ Broker-Dealer·4 w/ the
Massachusetts Securities Division
ORGANIZATION3 w/ Broker-Dealer·4 w/ the
the North American Securities Administrators Association
ORGANIZATION3 w/ Broker-Dealer·4 w/ the
Civil Penalty
ORGANIZATION3 w/ Broker-Dealer·4 w/ the