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Document Mentions (6 shared documents)
2 mentions1 same-page
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lients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform clients of Lehman's financial condition prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents
nvestigation costs of S200,000; Administrative payment of $700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (DOJ), State Attorney General of 24 States UBS AG and UBS Financial Services Inc reached settlements with the SEC. the IRS, the DOJ and a gr
2 mentions1 same-page
Page ?Same page
lients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform clients of Lehman's financial condition plot to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents
Investigation costs of $200,000; Administrative payment of $700,000 2. Date of Action: May 4.2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (DOJ), State Attorney General of 24 Stales UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, the Dal and a g
2 mentions1 same-page
Page ?Same page
lients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform clients of Lehman financial condition prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents t
nvestigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D08, State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, the DO1 and a gr
Sponsored
2 mentions1 same-page
Page ?Same page
clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients of Lehman's financial condition prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents
nvestigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (DOA State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, the DOJ and a gro
2 mentions1 same-page
Page ?Same page
clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients of Lehman's financial condition prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents
nvestigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D01), State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, the DOJ and a g
2 mentions1 same-page
Page ?Same page
clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients of Lehman financial condition prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents t
nvestigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D01), State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, the D01 and a g
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Mutual Connections (153)
Entities connected to both Lehman and Dept. of
Ghislaine Maxwell
PERSON33 w/ Lehman·6 w/ Dept.
Jeffrey Epstein
PERSON29 w/ Lehman·4 w/ Dept.
United States
LOCATION20 w/ Lehman·9 w/ Dept.
Marc Rich
PERSON19 w/ Lehman·4 w/ Dept.
Federal Reserve
ORGANIZATION11 w/ Lehman·7 w/ Dept.
Department of Justice
ORGANIZATION13 w/ Lehman·5 w/ Dept.
Barack Obama
PERSON14 w/ Lehman·2 w/ Dept.
New York
LOCATION12 w/ Lehman·3 w/ Dept.
New Hampshire
LOCATION9 w/ Lehman·6 w/ Dept.
Samantha Power
PERSON9 w/ Lehman·6 w/ Dept.
UBS AG
ORGANIZATION10 w/ Lehman·5 w/ Dept.
the Securities and Exchange Commission
ORGANIZATION8 w/ Lehman·6 w/ Dept.
Internal Revenue Service
ORGANIZATION8 w/ Lehman·6 w/ Dept.
New York State
LOCATION8 w/ Lehman·6 w/ Dept.
UBS Securities LLC
ORGANIZATION7 w/ Lehman·6 w/ Dept.
Bloomberg L.P.
ORGANIZATION11 w/ Lehman·2 w/ Dept.
the North American Securities Administrators Association
ORGANIZATION6 w/ Lehman·6 w/ Dept.
George W. Bush
PERSON8 w/ Lehman·4 w/ Dept.
JPMorgan Chase
ORGANIZATION9 w/ Lehman·3 w/ Dept.
Cease & Desist
ORGANIZATION6 w/ Lehman·6 w/ Dept.