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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
to Section 4.1 hereof, in such person's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time
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
to Section 4.1 hereof, in such person's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time
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
to Section 4.1 hereof, in such person's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time
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Mutual Connections (126)
Entities connected to both Connecticut Department and Millennium Investment
Fannie Mae
ORGANIZATION4 w/ Connecticut·3 w/ Millennium
New Hampshire
LOCATION4 w/ Connecticut·3 w/ Millennium
Swiss Federal Banking Commission
ORGANIZATION4 w/ Connecticut·3 w/ Millennium
the Financial Advisor's
ORGANIZATION4 w/ Connecticut·3 w/ Millennium
Parent Company
ORGANIZATION4 w/ Connecticut·3 w/ Millennium
Dept. of
ORGANIZATION4 w/ Connecticut·3 w/ Millennium
Back Taxes Payment
ORGANIZATION4 w/ Connecticut·3 w/ Millennium
United States
LOCATION4 w/ Connecticut·3 w/ Millennium
UBS Securities LLC
ORGANIZATION4 w/ Connecticut·3 w/ Millennium
the Securities and Exchange Commission
ORGANIZATION4 w/ Connecticut·3 w/ Millennium
Department of Justice
ORGANIZATION4 w/ Connecticut·3 w/ Millennium
New York State
LOCATION4 w/ Connecticut·3 w/ Millennium
the Connecticut Department of Banking
ORGANIZATION4 w/ Connecticut·3 w/ Millennium
Internal Revenue Service
ORGANIZATION4 w/ Connecticut·3 w/ Millennium
UBS AG
ORGANIZATION4 w/ Connecticut·3 w/ Millennium
UBS Fund
ORGANIZATION4 w/ Connecticut·3 w/ Millennium
Lehman Structured Products
ORGANIZATION4 w/ Connecticut·3 w/ Millennium
Massachusetts Securities Division
ORGANIZATION4 w/ Connecticut·3 w/ Millennium
the North American Securities Administrators Association
ORGANIZATION4 w/ Connecticut·3 w/ Millennium
Civil Penalty
ORGANIZATION4 w/ Connecticut·3 w/ Millennium