Back to Network
3
Shared Docs
3
Same-Page
3 / 3
Mentions
Document Mentions (3 shared documents)
2 mentions1 same-page
Page ?Same page
zation. Plan Assets Rules means Section 3(42) of ERISA and any rules and regulations thereunder, together with any plan assets regulation issued by the U.S. Department of Labor under ERISA, including 29 C.F.R. § 2510.3-101, as amended. Positive Basis means, with respect to any Member and as of any time of calculation, the
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
zation. Plan Assets Rules means Section 3(42) of ERISA and any rules and regulations thereunder, together with any plan assets regulation issued by the U.S. Department of Labor under ERISA, including 29 C.F.R. § 2510.3-101, as amended. Positive Basis means, with respect to any Member and as of any time of calculation, the
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
zation. Plan Assets Rules means Section 3(42) of ERISA and any rules and regulations thereunder, together with any plan assets regulation issued by the U.S. Department of Labor under ERISA, including 29 C.F.R. § 2510.3-101, as amended. Positive Basis means, with respect to any Member and as of any time of calculation, the
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 (127)
Entities connected to both the U.S. Department of Labor and Lehman Structured Products
United States
LOCATION26 w/ the·4 w/ Lehman
Department of Justice
ORGANIZATION18 w/ the·5 w/ Lehman
the Securities and Exchange Commission
ORGANIZATION8 w/ the·6 w/ Lehman
New York
LOCATION10 w/ the·3 w/ Lehman
Ghislaine Maxwell
PERSON8 w/ the·4 w/ Lehman
Federal Reserve
ORGANIZATION6 w/ the·5 w/ Lehman
Cayman
LOCATION8 w/ the·3 w/ Lehman
Internal Revenue Service
ORGANIZATION5 w/ the·6 w/ Lehman
Marc Rich
PERSON7 w/ the·3 w/ Lehman
Fannie Mae
ORGANIZATION5 w/ the·5 w/ Lehman
UBS AG
ORGANIZATION5 w/ the·5 w/ Lehman
New Hampshire
LOCATION4 w/ the·6 w/ Lehman
Samantha Power
PERSON6 w/ the·4 w/ Lehman
UBS Securities LLC
ORGANIZATION4 w/ the·6 w/ Lehman
the North American Securities Administrators Association
ORGANIZATION3 w/ the·6 w/ Lehman
Cease & Desist
ORGANIZATION3 w/ the·6 w/ Lehman
New York State
LOCATION3 w/ the·6 w/ Lehman
Dept. of
ORGANIZATION3 w/ the·6 w/ Lehman
Massachusetts Securities Division
ORGANIZATION3 w/ the·6 w/ Lehman
Lehman
ORGANIZATION3 w/ the·6 w/ Lehman