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AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
s of 50% (or such other specified percentage) of the aggregate Capital Account balances of all Members. Majority (or other specified percentage) in Unaffiliated Interest means, as of any date, one or more Unaffiliated Members that then in the aggregate have Unaffiliated Fund Percentages in excess of 50% (or such oth
2 mentions1 same-page
Page ?Same page
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
s of 50% (or such other specified percentage) of the aggregate Capital Account balances of all Members. Majority (or other specified percentage) in Unaffiliated Interest means, as of any date, one or more Unaffiliated Members that then in the aggregate have Unaffiliated Fund Percentages in excess of 50% (or such oth
2 mentions1 same-page
Page ?Same page
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
s of 50% (or such other specified percentage) of the aggregate Capital Account balances of all Members. Majority (or other specified percentage) in Unaffiliated Interest means, as of any date, one or more Unaffiliated Members that then in the aggregate have Unaffiliated Fund Percentages in excess of 50% (or such oth
Sponsored
Mutual Connections (126)
Entities connected to both Connecticut Department and Unaffiliated Interest
Fannie Mae
ORGANIZATION4 w/ Connecticut·3 w/ Unaffiliated
New Hampshire
LOCATION4 w/ Connecticut·3 w/ Unaffiliated
Swiss Federal Banking Commission
ORGANIZATION4 w/ Connecticut·3 w/ Unaffiliated
the Financial Advisor's
ORGANIZATION4 w/ Connecticut·3 w/ Unaffiliated
Parent Company
ORGANIZATION4 w/ Connecticut·3 w/ Unaffiliated
Dept. of
ORGANIZATION4 w/ Connecticut·3 w/ Unaffiliated
Back Taxes Payment
ORGANIZATION4 w/ Connecticut·3 w/ Unaffiliated
United States
LOCATION4 w/ Connecticut·3 w/ Unaffiliated
UBS Securities LLC
ORGANIZATION4 w/ Connecticut·3 w/ Unaffiliated
the Securities and Exchange Commission
ORGANIZATION4 w/ Connecticut·3 w/ Unaffiliated
Department of Justice
ORGANIZATION4 w/ Connecticut·3 w/ Unaffiliated
New York State
LOCATION4 w/ Connecticut·3 w/ Unaffiliated
the Connecticut Department of Banking
ORGANIZATION4 w/ Connecticut·3 w/ Unaffiliated
Internal Revenue Service
ORGANIZATION4 w/ Connecticut·3 w/ Unaffiliated
UBS AG
ORGANIZATION4 w/ Connecticut·3 w/ Unaffiliated
UBS Fund
ORGANIZATION4 w/ Connecticut·3 w/ Unaffiliated
Lehman Structured Products
ORGANIZATION4 w/ Connecticut·3 w/ Unaffiliated
Massachusetts Securities Division
ORGANIZATION4 w/ Connecticut·3 w/ Unaffiliated
the North American Securities Administrators Association
ORGANIZATION4 w/ Connecticut·3 w/ Unaffiliated
Civil Penalty
ORGANIZATION4 w/ Connecticut·3 w/ Unaffiliated