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Document Mentions (5 shared documents)
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tion 16. Date of Action: December 12, 2012 Brought By. FSA, FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (Dal), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation of L
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
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lion 13. Date of Action: December 12, 2012 Brought By: FSA, FINMA, CFTC Entity: UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (DOD, UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation o
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
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lion 13. Date of Action: December 12, 2012 Brought By: FSA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation
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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2 mentions1 same-page
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lion 13. Date of Action: December 12, 2012 Brought By: FSA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation
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
lion 13. Date of Action: December 12, 2012 Brought By: ESA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation
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 Department of Justice and Lehman Structured Products
United States
LOCATION1,116 w/ Department·4 w/ Lehman
Ghislaine Maxwell
PERSON917 w/ Department·4 w/ Lehman
New York
LOCATION473 w/ Department·3 w/ Lehman
Marc Rich
PERSON295 w/ Department·3 w/ Lehman
Samantha Power
PERSON233 w/ Department·4 w/ Lehman
New York State
LOCATION114 w/ Department·6 w/ Lehman
New Hampshire
LOCATION110 w/ Department·6 w/ Lehman
the Securities and Exchange Commission
ORGANIZATION88 w/ Department·6 w/ Lehman
Federal Reserve
ORGANIZATION63 w/ Department·5 w/ Lehman
Mohammed bin Salman
PERSON56 w/ Department·3 w/ Lehman
Wilmington
LOCATION48 w/ Department·3 w/ Lehman
JPMorgan Chase
ORGANIZATION44 w/ Department·3 w/ Lehman
Tokyo
LOCATION40 w/ Department·3 w/ Lehman
Internal Revenue Service
ORGANIZATION35 w/ Department·6 w/ Lehman
the State of New York
LOCATION25 w/ Department·2 w/ Lehman
UBS AG
ORGANIZATION21 w/ Department·5 w/ Lehman
the U.S. Department of Labor
ORGANIZATION18 w/ Department·3 w/ Lehman
Lehman
ORGANIZATION13 w/ Department·6 w/ Lehman
Fannie Mae
ORGANIZATION9 w/ Department·5 w/ Lehman
UBS Securities LLC
ORGANIZATION8 w/ Department·6 w/ Lehman