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Civil Penalty
Organization
5
Total Mentions
5
Documents
131
Connected Entities
Organization referenced in documents
Document Mentions (5)
EFTA00236788.pdf
1 mentionEFTA00236788
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
EFTA00237405.pdf
1 mentionEFTA00237405_sub_004 - EFTA00237405_315
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
EFTA00239188.pdf
1 mentionEFTA00239188_sub_003 - EFTA00239188_269
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
Sponsored
EFTA00237816.pdf
1 mentionEFTA00237816_sub_003 - EFTA00237816_258
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
EFTA00236853.pdf
1 mentionEFTA00236853_sub_003 - EFTA00236853_258
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
Sponsored
Connected Entities(20 of 131)
Lehman
OrganizationCollege in The Bronx, New York; part of the City University of New York (CUNY) system
5 docs5 co-mentions
New Hampshire
LocationState of the United States of America
5 docs5 co-mentions
Cease & Desist
OrganizationOrganization referenced in documents
5 docs5 co-mentions
General State of NY
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Brought
OrganizationOrganization referenced in documents
5 docs5 co-mentions
The Ohio Division of Securities
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Federal Reserve
OrganizationFederal Reserve System, central banking system of the United States
5 docs5 co-mentions
Fannie Mae
OrganizationGovernment-backed 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
Dept. of
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Swiss Federal Banking Commission
OrganizationOrganization referenced in documents
5 docs5 co-mentions
UBS Securities LLC
OrganizationOrganization referenced in documents
5 docs5 co-mentions
the Securities and Exchange Commission
OrganizationU.S. Securities and Exchange Commission
5 docs5 co-mentions
Department of Justice
OrganizationUnited States Department of Justice, federal executive department responsible for law enforcement
5 docs5 co-mentions
New York State
LocationState in the northeastern United States
5 docs5 co-mentions
Internal Revenue Service
OrganizationU.S. federal tax collection agency
5 docs5 co-mentions
UBS AG
OrganizationSwiss multinational investment bank and 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