Back to People & Entities
Brought
Organization
7
Total Mentions
7
Documents
138
Connected Entities
Organization referenced in documents
Document Mentions (7)
EFTA00236788.pdf
1 mentionEFTA00236788
to supervise. Disposition: Fine Fine: 595,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By. Secretary of State of 47 States and Washington Allegations: Violation of Securities Act regulations regarding research practices and conflicts o
EFTA01374029.pdf
1 mentionEFTA01374029
n* to supervise. Disposition: Fine Fine: $95,000 6. Date of Action: April 28, 2003 March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Vitiation of Securities Act regulations regarding research practices and confli
EFTA01386101.pdf
1 mentionEFTA01386101
n* to supervise. Disposition: Fine Fine: $95,000 6. Date of Action: April 28, 2003 March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Vitiation of Securities Act regulations regarding research practices and confli
Sponsored
EFTA00237405.pdf
1 mentionEFTA00237405_sub_004 - EFTA00237405_315
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington M. Allegations: Violation of Securities Act regulations regarding research practices and conflict
EFTA00239188.pdf
1 mentionEFTA00239188_sub_003 - EFTA00239188_269
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Violation of Securities Act regulations regarding research practices and confli
EFTA00237816.pdf
1 mentionEFTA00237816_sub_003 - EFTA00237816_258
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Violation of Securities Act regulations regarding research practices and confli
Sponsored
EFTA00236853.pdf
1 mentionEFTA00236853_sub_003 - EFTA00236853_258
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington M. Allegations: Violation of Securities Act regulations regarding research practices and conflict
Sponsored
Connected Entities(20 of 138)
The Ohio Division of Securities
OrganizationOrganization referenced in documents
7 docs7 co-mentions
UBS Securities LLC
OrganizationOrganization referenced in documents
7 docs7 co-mentions
Fannie Mae
OrganizationGovernment-backed financial services company
5 docs5 co-mentions
New Hampshire
LocationState of the United States of America
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
Back Taxes Payment
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Swiss Federal Banking Commission
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Lehman
OrganizationCollege in The Bronx, New York; part of the City University of New York (CUNY) system
5 docs5 co-mentions
Massachusetts Securities Division
OrganizationOrganization referenced in documents
5 docs5 co-mentions
the North American Securities Administrators Association
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Civil Penalty
OrganizationOrganization referenced in documents
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
Federal Reserve
OrganizationFederal Reserve System, central banking system of the United States
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