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

ments with the SEC, the IRS, the DOJ and a group of State Attorneys General regarding investigations into the conduct of certain former employees in UBS Financial Services' former municipal reinvestment and derivatives group from 2001 to 2006. Allegations included violations of: Section 15(c)(1XA) of the Securities Exc

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

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

ments with the SEC, the IRS, the D01 and a group of State Attorneys General regarding investigations into the conduct of certain former employees in UBS Financial Services' former municipal reinvestment and derivatives group from 2001 to 2006. Allegations included violations of: Section 15(c)(1XA) of the Securities Exc