Back to People & Entities
the North American Securities Administrators Association
Organization
6
Total Mentions
6
Documents
131
Connected Entities
Organization referenced in documents
Document Mentions (6)
EFTA00236788.pdf
1 mentionEFTA00236788
Brought By. Securities and Exchange Commission (SEC). Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: violations of
EFTA01386100.pdf
1 mentionEFTA01386100
Brought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Nlegations: Violations of 3
EFTA00237405.pdf
1 mentionEFTA00237405_sub_004 - EFTA00237405_315
Brought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
Sponsored
EFTA00239188.pdf
1 mentionEFTA00239188_sub_003 - EFTA00239188_269
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
EFTA00237816.pdf
1 mentionEFTA00237816_sub_003 - EFTA00237816_258
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
EFTA00236853.pdf
1 mentionEFTA00236853_sub_003 - EFTA00236853_258
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
Sponsored
Connected Entities(20 of 131)
New Hampshire
LocationState of the United States of America
6 docs6 co-mentions
New York State
LocationState in the northeastern United States
6 docs6 co-mentions
Massachusetts Securities Division
OrganizationOrganization referenced in documents
6 docs6 co-mentions
Internal Revenue Service
OrganizationU.S. federal tax collection agency
6 docs6 co-mentions
Lehman
OrganizationCollege in The Bronx, New York; part of the City University of New York (CUNY) system
6 docs6 co-mentions
Lehman Structured Products
OrganizationOrganization referenced in documents
6 docs6 co-mentions
Dept. of
OrganizationOrganization referenced in documents
6 docs6 co-mentions
Cease & Desist
OrganizationOrganization referenced in documents
6 docs6 co-mentions
UBS Securities LLC
OrganizationOrganization referenced in documents
6 docs6 co-mentions
the Securities and Exchange Commission
OrganizationU.S. Securities and Exchange Commission
6 docs6 co-mentions
UBS AG
OrganizationSwiss multinational investment bank and financial services company
5 docs5 co-mentions
the Financial Advisor's
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Parent Company
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Swiss Federal Banking Commission
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Department of Justice
OrganizationUnited States Department of Justice, federal executive department responsible for law enforcement
5 docs5 co-mentions
Fannie Mae
OrganizationGovernment-backed financial services company
5 docs5 co-mentions
Back Taxes Payment
OrganizationOrganization referenced in documents
5 docs5 co-mentions
UBS Fund
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Civil Penalty
OrganizationOrganization referenced in documents
5 docs5 co-mentions
General State of NY
OrganizationOrganization referenced in documents
5 docs5 co-mentions