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Financial Advisors of
Organization
3
Total Mentions
3
Documents
127
Connected Entities
Organization referenced in documents
Document Mentions (3)
EFTA00237405.pdf
1 mentionEFTA00237405_sub_004 - EFTA00237405_315
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and S5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
EFTA00237816.pdf
1 mentionEFTA00237816_sub_003 - EFTA00237816_258
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and $5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
EFTA00236853.pdf
1 mentionEFTA00236853_sub_003 - EFTA00236853_258
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and $5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
Sponsored
Connected Entities(20 of 127)
Fannie Mae
OrganizationGovernment-backed financial services company
3 docs3 co-mentions
New Hampshire
LocationState of the United States of America
3 docs3 co-mentions
UBS Fund
OrganizationOrganization referenced in documents
3 docs3 co-mentions
Lehman Structured Products
OrganizationOrganization referenced in documents
3 docs3 co-mentions
Connecticut Department
OrganizationOrganization referenced in documents
3 docs3 co-mentions
the Connecticut Department of Banking
OrganizationOrganization referenced in documents
3 docs3 co-mentions
Massachusetts Securities Division
OrganizationOrganization referenced in documents
3 docs3 co-mentions
the North American Securities Administrators Association
OrganizationOrganization referenced in documents
3 docs3 co-mentions
Civil Penalty
OrganizationOrganization referenced in documents
3 docs3 co-mentions
Cease & Desist
OrganizationOrganization referenced in documents
3 docs3 co-mentions
General State of NY
OrganizationOrganization referenced in documents
3 docs3 co-mentions
Brought
OrganizationOrganization referenced in documents
3 docs3 co-mentions
The Ohio Division of Securities
OrganizationOrganization referenced in documents
3 docs3 co-mentions
Back Taxes Payment
OrganizationOrganization referenced in documents
3 docs3 co-mentions
Swiss Federal Banking Commission
OrganizationOrganization referenced in documents
3 docs3 co-mentions
UBS Fund Advisor
OrganizationOrganization referenced in documents
3 docs3 co-mentions
United States
LocationCountry located primarily in North America
3 docs3 co-mentions
UBS Securities LLC
OrganizationOrganization referenced in documents
3 docs3 co-mentions
the Securities and Exchange Commission
OrganizationU.S. Securities and Exchange Commission
3 docs3 co-mentions
the Financial Advisor's
OrganizationOrganization referenced in documents
3 docs3 co-mentions