Document Mentions (3 shared documents)

EFTA00239188_sub_003 - EFTA00239188_269

2 mentions1 same-page

Page ?Same page

more volatile, and sell expensively priced (i.e., rich implied volatility) options whose underlying ins

nt (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 cross-border business of UBS AG private clients was investigated and the firm was required to cease operating its non-W9 relations

EFTA00237816_sub_003 - EFTA00237816_258

2 mentions1 same-page

Page ?Same page

more volatile, and sell expensively priced (i.e., rich implied volatility) options whose underlying ins

nt (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 cross-border business of UBS AG private dients was investigated and the firm was required to cease operating its non-W9 relationsh

EFTA00236853_sub_003 - EFTA00236853_258

2 mentions1 same-page

Page ?Same page

more volatile, and sell expensively priced (i.e., rich implied volatility) options whose underlying ins

nt (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 cross-border business of UBS AG private dients was investigated and the firm was required to cease operating its non-W9 relationsh