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Connecticut Department
Organization
4
Total Mentions
4
Documents
128
Connected Entities
Organization referenced in documents
Document Mentions (4)
EFTA00237405.pdf
1 mentionEFTA00237405_sub_004 - EFTA00237405_315
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (DO;), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DOJ, the Board of Governors of the Federal Reserve, and the Connecticut Depar
EFTA00239188.pdf
1 mentionEFTA00239188_sub_003 - EFTA00239188_269
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
EFTA00237816.pdf
1 mentionEFTA00237816_sub_003 - EFTA00237816_258
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
Sponsored
EFTA00236853.pdf
1 mentionEFTA00236853_sub_003 - EFTA00236853_258
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
Sponsored
Connected Entities(20 of 128)
Lehman
OrganizationCollege in The Bronx, New York; part of the City University of New York (CUNY) system
4 docs4 co-mentions
Fannie Mae
OrganizationGovernment-backed financial services company
4 docs4 co-mentions
New Hampshire
LocationState of the United States of America
4 docs4 co-mentions
United States
LocationCountry located primarily in North America
4 docs4 co-mentions
the Financial Advisor's
OrganizationOrganization referenced in documents
4 docs4 co-mentions
Parent Company
OrganizationOrganization referenced in documents
4 docs4 co-mentions
Dept. of
OrganizationOrganization referenced in documents
4 docs4 co-mentions
Back Taxes Payment
OrganizationOrganization referenced in documents
4 docs4 co-mentions
UBS Securities LLC
OrganizationOrganization referenced in documents
4 docs4 co-mentions
the Securities and Exchange Commission
OrganizationU.S. Securities and Exchange Commission
4 docs4 co-mentions
Department of Justice
OrganizationUnited States Department of Justice, federal executive department responsible for law enforcement
4 docs4 co-mentions
New York State
LocationState in the northeastern United States
4 docs4 co-mentions
the Connecticut Department of Banking
OrganizationOrganization referenced in documents
4 docs4 co-mentions
Internal Revenue Service
OrganizationU.S. federal tax collection agency
4 docs4 co-mentions
UBS Fund Advisor
OrganizationOrganization referenced in documents
4 docs4 co-mentions
UBS AG
OrganizationSwiss multinational investment bank and financial services company
4 docs4 co-mentions
UBS Fund
OrganizationOrganization referenced in documents
4 docs4 co-mentions
Lehman Structured Products
OrganizationOrganization referenced in documents
4 docs4 co-mentions
Massachusetts Securities Division
OrganizationOrganization referenced in documents
4 docs4 co-mentions
the North American Securities Administrators Association
OrganizationOrganization referenced in documents
4 docs4 co-mentions