Administrative Proceeding File No. 3-16846
Respondents
UBS Financial Services Incorporated of Puerto Rico
| Release Date | Release Number | Other Release Numbers | Name of Document |
|---|---|---|---|
| 34-92512 | Order Directing Disbursement of Fair Fund | ||
| 34-85891 | Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees And | ||
| 34-81100 | Order Approving Plan of Distribution and Consolidating Settlement Funds for Administration | ||
| 34-80535 | Notice of Proposed Plan of Distribution and Opportunity for Comment | ||
| 34-79513 | Third Extension Order | ||
| 34-79227 | Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount | ||
| 34-78002 | Second Extension Order | ||
| 34-77206 | Extension Order | ||
| 34-77130 | Order Appointing Tax Administrator | ||
| 34-76013 | Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions |