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esignated from time to time by the Manager. The Fund shall have its registered office in the State of Delaware at 2711 Centerville Road, Suite 400, Wilmington, New Castle County, Delaware 19808, and shall have Corporation Service Company as its registered agent at such registered office for service of proc
Allegations: Violations of 34 Act 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 UB
2 mentions1 same-page
Page ?Same page
esignated from time to time by the Manager. The Fund shall have its registered office in the State of Delaware at 2711 Centerville Road, Suite 400, Wilmington, New Castle County, Delaware 19808, and shall have Corporation Service Company as its registered agent at such registered office for service of proc
Allegations: Violations of 34 Act 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 UB
2 mentions1 same-page
Page ?Same page
esignated from time to time by the Manager. The Fund shall have its registered office in the State of Delaware at 2711 Centerville Road, Suite 400, Wilmington, New Castle County, Delaware 19808, and shall have Corporation Service Company as its registered agent at such registered office for service of proc
Allegations: Violations of 34 Act 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 UB
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Mutual Connections (126)
Entities connected to both Wilmington and Civil Penalty
Ghislaine Maxwell
PERSON83 w/ Wilmington·4 w/ Civil
United States
LOCATION77 w/ Wilmington·4 w/ Civil
Samantha Power
PERSON76 w/ Wilmington·4 w/ Civil
Department of Justice
ORGANIZATION48 w/ Wilmington·5 w/ Civil
New York State
LOCATION39 w/ Wilmington·5 w/ Civil
Marc Rich
PERSON36 w/ Wilmington·3 w/ Civil
New York
LOCATION29 w/ Wilmington·3 w/ Civil
New Hampshire
LOCATION12 w/ Wilmington·5 w/ Civil
the Securities and Exchange Commission
ORGANIZATION12 w/ Wilmington·5 w/ Civil
Federal Reserve
ORGANIZATION8 w/ Wilmington·5 w/ Civil
JPMorgan Chase
ORGANIZATION10 w/ Wilmington·3 w/ Civil
Tokyo
LOCATION9 w/ Wilmington·3 w/ Civil
Internal Revenue Service
ORGANIZATION7 w/ Wilmington·5 w/ Civil
Mohammed bin Salman
PERSON8 w/ Wilmington·3 w/ Civil
the Confidential Information
ORGANIZATION7 w/ Wilmington·3 w/ Civil
UBS AG
ORGANIZATION4 w/ Wilmington·5 w/ Civil
Fannie Mae
ORGANIZATION4 w/ Wilmington·5 w/ Civil
Cayman
LOCATION6 w/ Wilmington·3 w/ Civil
Net Profit
ORGANIZATION6 w/ Wilmington·3 w/ Civil
the North American Securities Administrators Association
ORGANIZATION3 w/ Wilmington·5 w/ Civil