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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
Brought By. Securities and Exchange Commission (SEC). Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: violations of
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
Brought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Nlegations: Violations of 3
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
Brought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
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
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
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
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
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
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
Sponsored
Mutual Connections (130)
Entities connected to both Lehman and the North American Securities Administrators Association
Ghislaine Maxwell
PERSON33 w/ Lehman·4 w/ the
United States
LOCATION20 w/ Lehman·4 w/ the
Marc Rich
PERSON19 w/ Lehman·3 w/ the
Department of Justice
ORGANIZATION13 w/ Lehman·5 w/ the
Federal Reserve
ORGANIZATION11 w/ Lehman·5 w/ the
New Hampshire
LOCATION9 w/ Lehman·6 w/ the
UBS AG
ORGANIZATION10 w/ Lehman·5 w/ the
New York
LOCATION12 w/ Lehman·3 w/ the
Internal Revenue Service
ORGANIZATION8 w/ Lehman·6 w/ the
New York State
LOCATION8 w/ Lehman·6 w/ the
the Securities and Exchange Commission
ORGANIZATION8 w/ Lehman·6 w/ the
UBS Securities LLC
ORGANIZATION7 w/ Lehman·6 w/ the
Samantha Power
PERSON9 w/ Lehman·4 w/ the
JPMorgan Chase
ORGANIZATION9 w/ Lehman·3 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ Lehman·6 w/ the
Dept. of
ORGANIZATION6 w/ Lehman·6 w/ the
Lehman Structured Products
ORGANIZATION6 w/ Lehman·6 w/ the
Cease & Desist
ORGANIZATION6 w/ Lehman·6 w/ the
The Ohio Division of Securities
ORGANIZATION5 w/ Lehman·5 w/ the
Brought
ORGANIZATION5 w/ Lehman·5 w/ the