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Cease & Desist
Organization
8
Total Mentions
8
Documents
180
Connected Entities
Organization referenced in documents
Document Mentions (8)
EFTA00236788.pdf
1 mentionEFTA00236788
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 UBS Securities LLC) agreed to pay a
EFTA00237111.pdf
1 mentionEFTA00237111
and did not file with the National Futures Association the commodity pools' annual reports in a timely manner or deliver to pool participants. Cease & Desist from violating Regulation 4.7(b)(3)(i) and CFR 4.7(b)(3)(0(2008) and pay a civil penalty Civil Penalty: $50,000 5 February 2009 SEC and
EFTA00237720.pdf
1 mentionEFTA00237720
and did not file with the National Futures Association the commodity pools' annual reports in a timely manner or deliver to pool participants. Cease & Desist from violating Regulation 4.7(b)(3)(0 and CFR 4.7(b)(3)(0(2008) and pay a civil penalty Civil Penalty: $50,000 5 February 2009 SEC and U
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EFTA01386100.pdf
1 mentionEFTA01386100
Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposkion: Cease & Desist INunction; CMI Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid m all 50 states. UBS Financial Seances Inc. (together with UBS Securities LLC) agreed to pay a fi
EFTA00237405.pdf
1 mentionEFTA00237405_sub_004 - EFTA00237405_315
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 UBS Securities LLC) agreed to pay a
EFTA00239188.pdf
1 mentionEFTA00239188_sub_003 - EFTA00239188_269
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 UBS Securities LLC) agreed to pay a
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EFTA00237816.pdf
1 mentionEFTA00237816_sub_003 - EFTA00237816_258
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 UBS Securities LLC) agreed to pay a
EFTA00236853.pdf
1 mentionEFTA00236853_sub_003 - EFTA00236853_258
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 UBS Securities LLC) agreed to pay a
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Connected Entities(20 of 180)
UBS Securities LLC
OrganizationOrganization referenced in documents
8 docs8 co-mentions
the Securities and Exchange Commission
OrganizationU.S. Securities and Exchange Commission
8 docs8 co-mentions
Federal Reserve
OrganizationFederal Reserve System, central banking system of the United States
7 docs7 co-mentions
Fannie Mae
OrganizationGovernment-backed financial services company
7 docs7 co-mentions
Department of Justice
OrganizationUnited States Department of Justice, federal executive department responsible for law enforcement
7 docs7 co-mentions
UBS AG
OrganizationSwiss multinational investment bank and financial services company
7 docs7 co-mentions
UBS Fund
OrganizationOrganization referenced in documents
7 docs7 co-mentions
New Hampshire
LocationState of the United States of America
6 docs6 co-mentions
Ghislaine Maxwell
PersonBritish socialite and sex trafficker, daughter of Robert Maxwell, accomplice of Jeffrey Epstein
6 docs6 co-mentions
Massachusetts Securities Division
OrganizationOrganization referenced in documents
6 docs6 co-mentions
the North American Securities Administrators Association
OrganizationOrganization referenced in documents
6 docs6 co-mentions
New York State
LocationState in the northeastern United States
6 docs6 co-mentions
United States
LocationCountry located primarily in North America
6 docs6 co-mentions
Internal Revenue Service
OrganizationU.S. federal tax collection agency
6 docs6 co-mentions
Dept. of
OrganizationOrganization referenced in documents
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
Parent Company
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