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Document Mentions (6 shared documents)
2 mentions1 same-page
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from the SEC settlement 4. Date of Action: Dec. 22, 2008 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 perman
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
from the SEC settlement 3. Date of Action: Dec. 22, 2008 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 perman
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
from the SEC settlement 4. Date of Action: Dec. 22, 2008 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 perman
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
Sponsored
2 mentions1 same-page
Page ?Same page
d from the SEC settlement 4. Date of Action: Dec. 22, 2008 &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 perman
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
d from the SEC settlement 4. Date of Action: Dec. 22, 2008 &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 perman
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
d from the SEC settlement 4. Date of Action: Dec. 22, 2008 &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 perman
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 (130)
Entities connected to both New York State and Lehman Structured Products
New York
LOCATION233 w/ New·3 w/ Lehman
United States
LOCATION178 w/ New·4 w/ Lehman
Ghislaine Maxwell
PERSON138 w/ New·4 w/ Lehman
Samantha Power
PERSON116 w/ New·4 w/ Lehman
Department of Justice
ORGANIZATION114 w/ New·5 w/ Lehman
Marc Rich
PERSON58 w/ New·3 w/ Lehman
the State of New York
LOCATION51 w/ New·2 w/ Lehman
Wilmington
LOCATION39 w/ New·3 w/ Lehman
the Securities and Exchange Commission
ORGANIZATION24 w/ New·6 w/ Lehman
JPMorgan Chase
ORGANIZATION26 w/ New·3 w/ Lehman
Tokyo
LOCATION22 w/ New·3 w/ Lehman
Internal Revenue Service
ORGANIZATION18 w/ New·6 w/ Lehman
New Hampshire
LOCATION17 w/ New·6 w/ Lehman
Mohammed bin Salman
PERSON18 w/ New·3 w/ Lehman
Federal Reserve
ORGANIZATION14 w/ New·5 w/ Lehman
Cayman
LOCATION12 w/ New·3 w/ Lehman
UBS Securities LLC
ORGANIZATION8 w/ New·6 w/ Lehman
Lehman
ORGANIZATION8 w/ New·6 w/ Lehman
Dept. of
ORGANIZATION6 w/ New·6 w/ Lehman
Cease & Desist
ORGANIZATION6 w/ New·6 w/ Lehman