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more volatile, and sell expensively priced (i.e., rich implied volatility) options whose underlying ins
Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a
2 mentions1 same-page
Page ?Same page
more volatile, and sell expensively priced (i.e., rich implied volatility) options whose underlying ins
Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a
2 mentions1 same-page
Page ?Same page
more volatile, and sell expensively priced (i.e., rich implied volatility) options whose underlying ins
Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a
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Mutual Connections (132)
Entities connected to both Marc Rich and Cease & Desist
Ghislaine Maxwell
PERSON898 w/ Marc·6 w/ Cease
United States
LOCATION626 w/ Marc·6 w/ Cease
JPMorgan Chase
ORGANIZATION509 w/ Marc·3 w/ Cease
Samantha Power
PERSON417 w/ Marc·4 w/ Cease
New York
LOCATION348 w/ Marc·3 w/ Cease
Department of Justice
ORGANIZATION295 w/ Marc·7 w/ Cease
New Hampshire
LOCATION156 w/ Marc·6 w/ Cease
Ralph Lauren
PERSON109 w/ Marc·2 w/ Cease
NM
Nadia Marcinkova
PERSON104 w/ Marc·2 w/ Cease
Tokyo
LOCATION80 w/ Marc·3 w/ Cease
New York State
LOCATION58 w/ Marc·6 w/ Cease
Federal Reserve
ORGANIZATION53 w/ Marc·7 w/ Cease
the Securities and Exchange Commission
ORGANIZATION45 w/ Marc·8 w/ Cease
UBS AG
ORGANIZATION44 w/ Marc·7 w/ Cease
Mohammed bin Salman
PERSON44 w/ Marc·3 w/ Cease
Wilmington
LOCATION36 w/ Marc·3 w/ Cease
Cayman
LOCATION33 w/ Marc·3 w/ Cease
Internal Revenue Service
ORGANIZATION23 w/ Marc·6 w/ Cease
Lehman
ORGANIZATION19 w/ Marc·6 w/ Cease
the State of New York
LOCATION21 w/ Marc·2 w/ Cease