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Corpus: 1990-03-17 – 2025-12-01
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EFTA00237720
Dataset 9
2015-03-31
15p
5,178w
…Fund Advisor. L.L.C. UBS Fund Advisor, L.L.C. ("Fund Advisor') is a registered investment adviser that provides advisory and administration services to a number of unregistered funds. These funds are primarily structured as • master-feeder" funds which provide brokerage and advisory clients of our affiliate, UBS Financial Services Inc. ('
UBSFS
), with access to third party hedge, private equity and real estate managers. Our parent company, UBS Group AG, a publicly held company, is a global, integrated investment…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00237720.pdf
EFTA00237111
Dataset 9
2015-03-31
15p
5,178w
…Fund Advisor. L.L.C. UBS Fund Advisor, L.L.C. ("Fund Advisor') is a registered investment adviser that provides advisory and administration services to a number of unregistered funds. These funds are primarily structured as • master-feeder" funds which provide brokerage and advisory clients of our affiliate, UBS Financial Services Inc. ('
UBSFS
), with access to third party hedge, private equity and real estate managers. Our parent company, UBS Group AG, a publicly held company, is a global, integrated investment…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00237111.pdf
EFTA00239482
Dataset 9
2018-12-05
1p
366w
…to receive your entire Distribution in cash. Proceeds from the Distribution will be deposited into your
UBSFS
account that currently holds the position in the AlphaKeys Fund Investor Signatures: UBS X l X Investor signatur Date Chislaine Maxwell Print Name/Title Additional Investor signature Date Print Name/Title of Additional Investor Questions Please contact your Financial Advisor with any questions. We appreciate your relationship and look forward to continuing to serve your wealth management needs. Page 2of3 CONFIDENTIAL UBSTERFtAMAR00004152 EFTA00239482
https://www.justice.gov/epstein/files/DataSet%209/EFTA00239482.pdf
EFTA00239477
Dataset 9
2018-12-05
3p
1,262w
…the entire Distribution must be accepted in cash. Investors will not be permitted to receive a portion of their Distribution in cash and reinvest the remaining portion. • Proceeds from any cash distribution will be sent during February 2019 to your UBS Financial Services Inc. ("
UBSFS
") account that holds the position in the AlphaKeys Fund. Please select one of two options by checking the appropriate box below. If you wish to reinvest your entire Distribution in Class 8 Interests of the…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00239477.pdf
EFTA00239185
Dataset 9
2018-12-05
3p
1,261w
…the entire Distribution must be accepted in cash. Investors will not be permitted to receive a portion of their Distribution in cash and reinvest the remaining portion. • Proceeds from any cash distribution will be sent during February 2019 to your UBS Financial Services Inc. ("
UBSFS
") account that holds the position in the AlphaKeys Fund. Please select one of two options by checking the appropriate box below. If you wish to reinvest your entire Distribution in Class 8 Interests of the…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00239185.pdf
EFTA00239459
Dataset 9
2018-12-05
3p
1,264w
…the entire Distribution must be accepted in cash. Investors will not be permitted to receive a portion of their Distribution in cash and reinvest the remaining portion. • Proceeds from any cash distribution will be sent during February 2019 to your UBS Financial Services Inc. ("
UBSFS
") account that holds the position in the AlphaKeys Fund. Please select one of two options by checking the appropriate box below. If you wish to reinvest your entire Distribution in Class 8 Interests of the…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00239459.pdf
EFTA00082705
Dataset 9
2021-07-10
118p
34,707w
Subject:
Fw: Formal appeal for covered action 2015-016/ Knight Capital TCR & Appendix
From:
Chris DiIon° <MI >
…$14.5 Million Penalty against UBS Financial Services for Anti-Money Laundering Failures I FinCEN.gov FinCEN Assesses $14.5 Million Penalty against UBS Financial Services for Anti-Money Laundering Failures I FinCEN.gov WASHINGTON—The Financial Crimes Enforcement Network (FinCEN) today announced an assessment against UBS Financial Services, Inc. (
UBSFS
) for willful violations of the Bank Secrecy Act (BSA).. FinCEN assessed a $14.5 million civil money penalty, of which $5 million will be paid to the U.S…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00082705.pdf
EFTA01273265
Dataset 10
2014-07-01
19p
10,781w
…rwestmem a and Op The trwestor hereby authorizes (I) the debit of funds. hom the tons account specified herein or sty other account maintained for the Subscribe, at
UBSFS
('Accounts'). any payments required to be made in connedion with an investment n the fund and (2) the credit of any lunch to the Subsater3 Accounts. Including any chsutubonS made by the Fund. th) The Undersigned understands that the Fund may in its ode and absolute discretion accept as your Capital…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01273265.pdf
EFTA01278551
Dataset 10
2016-05-02
104p
59,742w
…necessarily the value you would receive quarterly, based on the Net Asset value the fund a of the date sped fect a:Auskd by ading from the Issuer if you sd the assets. Funds actively sdd by
UBSFS
ere subject to orgoing due digence, capital calls arid sadrachng dst nbutions since the NAY date The NAY is primarily based on estimated dthcsigh the level performed cry. vary A dosed fund may be subject to no oregano dligence A fund that …
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01278551.pdf
EFTA01278815
Dataset 10
2017-07-02
160p
93,682w
…is not necessarily the vtlue you would receive quarterly, based on the Net Asset Value (*NATIin the fund m of the date sped fed 0/sledby hem the Issuer if you sd the assets. Funds actively sdd ty
UBSFS
are subject to ongoing due digence, cidtal calls and subtractirg clsInbutions unce the NAV date The NAV is pin-aril, based on estimated //though the level performed may vary A dosed fund may besieged to no ongoing dligence A fund that …
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01278815.pdf
EFTA01278975
Dataset 10
2019-03-02
32p
19,308w
…beefed on the Net AlOet value Nay') in the fund a of the date specified ailusled by ading from l be Issuer if you sdd the assets. Funds actively sdd
UBSFS
ate subject to ongoing due dagence, capital calls and subtracting dmoblations gnu the NAV date The NAV is primarily based on estimated although the level performed relay vary A dosed fund may be subject tonoongoing diagence A fund that portfolio vd ues provided by the underlying fund sponsor These…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01278975.pdf
EFTA00010819
Dataset 8
2021-11-27
122p
35,355w
Subject:
[EXTERNAL] Fw: Formal appeal for covered action 2015-016/ Knight Capital TCR &
…5 Million Penalty against UBS Financial Services for Anti-Money Laundering Failures I FinCEN.gov EFTA00010824 FinCEN Assesses $14.5 Million Penalty against UBS Financial Services for Anti-Money Laundering Failures I FinCEN.gov WASHINGTON—The Financial Crimes Enforcement Network (FinCEN) today announced an assessment against UBS Financial Services, Inc. (
UBSFS
) for willful violations of the Bank Secrecy Act (BSA).. FinCEN assessed a $14.5 million civil money penalty, of which $5 million will be paid to the U.S…
https://www.justice.gov/epstein/files/DataSet%208/EFTA00010819.pdf
EFTA00098841
Dataset 9
2021-07-18
130p
37,722w
Subject:
Fw: Formal appeal for covered action 2015-016/ Knight Capital TCR & Appendix
From:
Chris Dilorio
…Assesses $14.5 Million Penalty against UBS Financial Services for Anti-Money Laundering Failures FinCEN.gov FinCEN Assesses $14.5 Million Penalty against UBS Financial Services for Anti-Money Laundering Failures I FinCEN.gov WASHINGTON—The Financial Crimes Enforcement Network (FinCEN) today announced an assessment against UBS Financial Services, Inc. (
UBSFS
) for willful violations of the Bank Secrecy Act (BSA).. FinCEN assessed a $14.5 million civil money penalty, of which $5 million will be paid to the U.S…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00098841.pdf
EFTA00237405
Dataset 9
315p
174,476w
…Member who is a client of UBS Financial Services Inc. ("
UBSFS
") and invests in the AlphaKeys Fund through an Advisory Program (as defined below) will be issued Advisory Class limited liability company interests and will not be charged a Placement Fee or an Administrative Fee (as defined below). Each Member (including permitted transferees) will be obligated to agree to be bound by all of the terms of the LLC Agreement. Each potential investor also will be obligated to represent and…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00237405.pdf
EFTA00091093
Dataset 9
2021-07-20
135p
39,055w
Subject:
Fw: Formal appeal for covered action 2015-016/ Knight Capital TCR & Appendix
From:
Chris DiIon° <MIMI >
…Assesses $14.5 Million Penalty against UBS Financial Services for Anti-Money Laundering Failures FinCEN.gov FinCEN Assesses $14.5 Million Penalty against UBS Financial Services for Anti-Money Laundering Failures I FinCEN.gov WASHINGTON—The Financial Crimes Enforcement Network (FinCEN) today announced an assessment against UBS Financial Services, Inc. (
UBSFS
) for willful violations of the Bank Secrecy Act (BSA).. FinCEN assessed a $14.5 million civil money penalty, of which $5 million will be paid to the U.S…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00091093.pdf
EFTA00236853
Dataset 9
2013-09-23
258p
118,414w
…Administrator is an indirect, wholly owned subsidiary of UBS Americas, Inc. (the "UBS Americas") which, in turn, is a wholly owned subsidiary of UBS AG (together with its affiliates, "UK") a Swiss bank.
UBSFS
, a wholly owned subsidiary of UBS Americas, is registered as a broker-dealer under the U.S. Securities Exchange Act of 1934, as amended (the "1934 act"), and is a member of the New York Stock Exchange, Inc. and other principal securities exchanges. The offices of…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00236853.pdf
EFTA00082825
Dataset 9
2021-07-16
122p
35,669w
Subject:
Fw: Formal appeal for covered action 2015-016/ Knight Capital TCR & Appendix
From:
Chris DiIon° <MIMI >
…$14.5 Million Penalty against UBS Financial Services for Anti-Money Laundering Failures I FinCEN.gov FinCEN Assesses $14.5 Million Penalty against UBS Financial Services for Anti-Money Laundering Failures I FinCEN.gov WASHINGTON—The Financial Crimes Enforcement Network (FinCEN) today announced an assessment against UBS Financial Services, Inc. (
UBSFS
) for willful violations of the Bank Secrecy Act (BSA).. FinCEN assessed a $14.5 million civil money penalty, of which $5 million will be paid to the U.S…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00082825.pdf
EFTA00065103
Dataset 9
2021-07-23
138p
40,029w
Subject:
Fw: Formal appeal for covered action 2015-016/ Knight Capital TCR & Appendix
From:
Chris DiIon° <MIMI >
…Assesses $14.5 Million Penalty against UBS Financial Services for Anti-Money Laundering Failures FinCEN.gov FinCEN Assesses $14.5 Million Penalty against UBS Financial Services for Anti-Money Laundering Failures I FinCEN.gov WASHINGTON—The Financial Crimes Enforcement Network (FinCEN) today announced an assessment against UBS Financial Services, Inc. (
UBSFS
) for willful violations of the Bank Secrecy Act (BSA).. FinCEN assessed a $14.5 million civil money penalty, of which $5 million will be paid to the U.S…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00065103.pdf
EFTA00070998
Dataset 9
2012-08-01
142p
41,187w
Subject:
Fw: Formal appeal for covered action 2015-016/ Knight Capital TCR & Appendix
From:
Chris DiIon° <MIMI >
…5 Million Penalty against UBS Financial Services for Anti-Money Laundering Failures I FinCEN.gov EFTA00071023 FinCEN Assesses $14.5 Million Penalty against UBS Financial Services for Anti-Money Laundering Failures I FinCEN.gov WASHINGTON—The Financial Crimes Enforcement Network (FinCEN) today announced an assessment against UBS Financial Services, Inc. (
UBSFS
) for willful violations of the Bank Secrecy Act (BSA).. FinCEN assessed a $14.5 million civil money penalty, of which $5 million will be paid to the U.S…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00070998.pdf
EFTA00239188
Dataset 9
2013-09-23
269p
127,446w
…Millennium Funds"). The Administrator is an indirect, wholly owned subsidiary of UBS Americas, Inc. (the "UBS Americas") which, in turn, is a wholly owned subsidiary of UBS AG (together with its affiliates, "UBS"), a Swiss bank.
UBSFS
, a wholly owned subsidiary of UBS Americas, is registered as a broker-dealer under the U.S. Securities Exchange Act of 1934, as amended (the "1934 Act"), and is a member of the New York Stock Exchange, Inc. and other principal securities exchanges…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00239188.pdf
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