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Document Mentions (5 shared documents)
2 mentions1 same-page
Page ?Same page
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
te of Action: August 22, 2011 Entity: UBS Financial Services, Inc. Brought By. New Hampshire Bureau of Securities Regulation Allegations: UBS sold Lehman Structured Products to clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform client
2 mentions1 same-page
Page ?Same page
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
te of Action: August 22, 2011 Entity: UBS Financial Services, Inc. Brought By: New Hampshire Bureau of Securities Regulation Allegations: UBS sold Lehman Structured Products to clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform client
2 mentions1 same-page
Page ?Same page
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
te of Action: August 22, 2011 Entity: UBS Financial Services, Inc. Brought By: New Hampshire Bureau of Securities Regulation Allegations: UBS sold Lehman Structured Products to clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients
Sponsored
2 mentions1 same-page
Page ?Same page
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
te of Action: August 22, 2011 Entity: UBS Financial Services, Inc. Brought By: New Hampshire Bureau of Securities Regulation Allegations: UBS sold Lehman Structured Products to clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients
2 mentions1 same-page
Page ?Same page
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
te of Action: August 22, 2011 Entity: UBS Financial Services, Inc. Brought By: New Hampshire Bureau of Securities Regulation Allegations: UBS sold Lehman Structured Products to clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients
Sponsored
Mutual Connections (130)
Entities connected to both UBS AG and Lehman Structured Products
Ghislaine Maxwell
PERSON165 w/ UBS·4 w/ Lehman
United States
LOCATION78 w/ UBS·4 w/ Lehman
Cayman
LOCATION48 w/ UBS·3 w/ Lehman
Marc Rich
PERSON44 w/ UBS·3 w/ Lehman
Samantha Power
PERSON34 w/ UBS·4 w/ Lehman
Department of Justice
ORGANIZATION21 w/ UBS·5 w/ Lehman
JPMorgan Chase
ORGANIZATION22 w/ UBS·3 w/ Lehman
the Securities and Exchange Commission
ORGANIZATION18 w/ UBS·6 w/ Lehman
New York
LOCATION19 w/ UBS·3 w/ Lehman
Federal Reserve
ORGANIZATION16 w/ UBS·5 w/ Lehman
UBS Securities LLC
ORGANIZATION14 w/ UBS·6 w/ Lehman
Internal Revenue Service
ORGANIZATION13 w/ UBS·6 w/ Lehman
Lehman
ORGANIZATION10 w/ UBS·6 w/ Lehman
Fannie Mae
ORGANIZATION11 w/ UBS·5 w/ Lehman
UBS Fund
ORGANIZATION9 w/ UBS·5 w/ Lehman
Cease & Desist
ORGANIZATION7 w/ UBS·6 w/ Lehman
the State of New York
LOCATION11 w/ UBS·2 w/ Lehman
New Hampshire
LOCATION6 w/ UBS·6 w/ Lehman
UBS Fund Advisor
ORGANIZATION8 w/ UBS·4 w/ Lehman
Ernst & Young LLP
ORGANIZATION8 w/ UBS·3 w/ Lehman