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Document Mentions (5 shared documents)
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an adequate risk management and control system for this business. Disposition: Injunction 16. Date of Action: December 12, 2012 Brought By. FSA, FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (Dal), UK Financial Services Authority
Entity: Individual Financial Advisor Brought By. Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales cerson license. ML281837-MAXWELL Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00001134 EFTA00236790 Disclosure Stat
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reporting requirements. DOJ: Payment of USD 203 million Federal Reserve: USD 342 million 13. Date of Action: December 12, 2012 Brought By: FSA, FINMA, CFTC Entity: UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (DOD, UK Financial Services Authority,
Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. ER30 378-MAXWELL Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00002087 EFTA00237718 Disclosure Stat
2 mentions1 same-page
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reporting requirements. DOJ: Payment of USD 203 million Federal Reserve: USD 342 million 13. Date of Action: December 12, 2012 Brought By: FSA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority
Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. Page 3 of 4 CONFI DENTIAL UBSTERFtAMAR00004122 EFTA00239454 FOR EXISTING INVESTOR USE ONLY
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2 mentions1 same-page
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reporting requirements. DOJ: Payment of USD 203 million Federal Reserve: USD 342 million 13. Date of Action: December 12, 2012 Brought By: FSA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority
Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. "\.1.172-8-1-8 1 7-M A X ‘,/Wht. Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00002515 EFTA00238071
2 mentions1 same-page
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reporting requirements. DOJ: Payment of USD 203 million Federal Reserve: USD 342 million 13. Date of Action: December 12, 2012 Brought By: ESA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority
Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. - rvi-A ><WVE L L Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00001462 EFTA00237108 Disclosure Sta
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Mutual Connections (130)
Entities connected to both Fannie Mae and the Financial Advisor's
Ghislaine Maxwell
PERSON18 w/ Fannie·4 w/ the
United States
LOCATION17 w/ Fannie·4 w/ the
UBS AG
ORGANIZATION11 w/ Fannie·6 w/ the
the Securities and Exchange Commission
ORGANIZATION10 w/ Fannie·5 w/ the
Federal Reserve
ORGANIZATION10 w/ Fannie·5 w/ the
Department of Justice
ORGANIZATION9 w/ Fannie·5 w/ the
Marc Rich
PERSON10 w/ Fannie·3 w/ the
Mohammed bin Salman
PERSON10 w/ Fannie·3 w/ the
Ernst & Young LLP
ORGANIZATION9 w/ Fannie·3 w/ the
Samantha Power
PERSON8 w/ Fannie·4 w/ the
UBS Fund
ORGANIZATION7 w/ Fannie·5 w/ the
UBS Securities LLC
ORGANIZATION7 w/ Fannie·5 w/ the
Cease & Desist
ORGANIZATION7 w/ Fannie·5 w/ the
Internal Revenue Service
ORGANIZATION7 w/ Fannie·5 w/ the
Cayman
LOCATION8 w/ Fannie·3 w/ the
Dept. of
ORGANIZATION6 w/ Fannie·5 w/ the
New York State
LOCATION5 w/ Fannie·5 w/ the
Lehman Structured Products
ORGANIZATION5 w/ Fannie·5 w/ the
Massachusetts Securities Division
ORGANIZATION5 w/ Fannie·5 w/ the
the North American Securities Administrators Association
ORGANIZATION5 w/ Fannie·5 w/ the