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Document Mentions (6 shared documents)
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ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a fine of 5150 million ($75 million to the NYAG and S75 million allocated to the remaining states). ML281837-MAXWELL Page 2 of 4 C
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
alty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid m all 50 states. UBS Financial Seances Inc. (together with UBS Securities LLC) agreed to pay a fine of $150 mil:ion (575 million to the NYAG and 175 million allocated to the remaining states). 4. Date of Action: luly 16, 200
Date of Action: August 22, 2011 Entity. UBS Financial Semites, Inc. Brought By: New Hampshire Bureau of Securities Regulation Nlegations: 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
ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
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
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2 mentions1 same-page
Page ?Same page
ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
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
ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
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
ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
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
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Mutual Connections (130)
Entities connected to both UBS Securities LLC and Lehman Structured Products
UBS AG
ORGANIZATION14 w/ UBS·5 w/ Lehman
the Securities and Exchange Commission
ORGANIZATION9 w/ UBS·6 w/ Lehman
Federal Reserve
ORGANIZATION10 w/ UBS·5 w/ Lehman
New York State
LOCATION8 w/ UBS·6 w/ Lehman
Cease & Desist
ORGANIZATION8 w/ UBS·6 w/ Lehman
United States
LOCATION10 w/ UBS·4 w/ Lehman
Department of Justice
ORGANIZATION8 w/ UBS·5 w/ Lehman
Lehman
ORGANIZATION7 w/ UBS·6 w/ Lehman
Ghislaine Maxwell
PERSON8 w/ UBS·4 w/ Lehman
Internal Revenue Service
ORGANIZATION6 w/ UBS·6 w/ Lehman
Dept. of
ORGANIZATION6 w/ UBS·6 w/ Lehman
the North American Securities Administrators Association
ORGANIZATION6 w/ UBS·6 w/ Lehman
New Hampshire
LOCATION6 w/ UBS·6 w/ Lehman
Brought
ORGANIZATION7 w/ UBS·5 w/ Lehman
The Ohio Division of Securities
ORGANIZATION7 w/ UBS·5 w/ Lehman
Fannie Mae
ORGANIZATION7 w/ UBS·5 w/ Lehman
UBS Fund
ORGANIZATION7 w/ UBS·5 w/ Lehman
Massachusetts Securities Division
ORGANIZATION6 w/ UBS·6 w/ Lehman
Swiss Federal Banking Commission
ORGANIZATION5 w/ UBS·5 w/ Lehman
Parent Company
ORGANIZATION5 w/ UBS·5 w/ Lehman