4
Total Mentions
4
Documents
128
Connected Entities
Organization referenced in documents
EFTA00237405_sub_004 - EFTA00237405_315
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
EFTA00239188_sub_003 - EFTA00239188_269
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
EFTA00237816_sub_003 - EFTA00237816_258
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
EFTA00236853_sub_003 - EFTA00236853_258
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
Lehman
OrganizationCollege in The Bronx, New York; part of the City University of New York (CUNY) system

Fannie Mae
OrganizationGovernment-backed financial services company

New Hampshire
LocationState of the United States of America

United States
LocationCountry located primarily in North America
the Financial Advisor's
OrganizationOrganization referenced in documents
Parent Company
OrganizationOrganization referenced in documents
Dept. of
OrganizationOrganization referenced in documents
Back Taxes Payment
OrganizationOrganization referenced in documents
UBS Securities LLC
OrganizationOrganization referenced in documents
the Securities and Exchange Commission
OrganizationU.S. Securities and Exchange Commission

Department of Justice
OrganizationUnited States Department of Justice, federal executive department responsible for law enforcement

New York State
LocationState in the northeastern United States
Connecticut Department
OrganizationOrganization referenced in documents

Internal Revenue Service
OrganizationU.S. federal tax collection agency
UBS Fund Advisor
OrganizationOrganization referenced in documents

UBS AG
OrganizationSwiss multinational investment bank and financial services company
UBS Fund
OrganizationOrganization referenced in documents
Lehman Structured Products
OrganizationOrganization referenced in documents
Massachusetts Securities Division
OrganizationOrganization referenced in documents
the North American Securities Administrators Association
OrganizationOrganization referenced in documents