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Document Mentions (6 shared documents)
2 mentions1 same-page
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ministrative fine of $100,000; Investigation costs of S200,000; Administrative payment of $700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (DOJ), State Attorney General of 24 States UBS AG and UBS Financial Services Inc reached settlements with the SEC. the IRS,
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
dministrative line of $100,000; Investigation costs of $200,000; Administrative payment of $700,000 2. Date of Action: May 4.2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (DOJ), State Attorney General of 24 Stales UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS,
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
ministrative fine of 5100,000; Investigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D08, State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS,
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
ministrative fine of 5100,000; Investigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (DOA State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, t
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
ministrative fine of 5100,000; Investigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D01), State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS,
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
ministrative fine of 5100,000; Investigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D01), State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS,
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 Internal Revenue Service and Lehman Structured Products
United States
LOCATION40 w/ Internal·4 w/ Lehman
Department of Justice
ORGANIZATION35 w/ Internal·5 w/ Lehman
Ghislaine Maxwell
PERSON34 w/ Internal·4 w/ Lehman
Samantha Power
PERSON25 w/ Internal·4 w/ Lehman
Marc Rich
PERSON23 w/ Internal·3 w/ Lehman
New York State
LOCATION18 w/ Internal·6 w/ Lehman
New York
LOCATION20 w/ Internal·3 w/ Lehman
the Securities and Exchange Commission
ORGANIZATION15 w/ Internal·6 w/ Lehman
the State of New York
LOCATION19 w/ Internal·2 w/ Lehman
UBS AG
ORGANIZATION13 w/ Internal·5 w/ Lehman
New Hampshire
LOCATION9 w/ Internal·6 w/ Lehman
Federal Reserve
ORGANIZATION10 w/ Internal·5 w/ Lehman
Lehman
ORGANIZATION8 w/ Internal·6 w/ Lehman
Fannie Mae
ORGANIZATION7 w/ Internal·5 w/ Lehman
UBS Securities LLC
ORGANIZATION6 w/ Internal·6 w/ Lehman
Cease & Desist
ORGANIZATION6 w/ Internal·6 w/ Lehman
the North American Securities Administrators Association
ORGANIZATION6 w/ Internal·6 w/ Lehman
Massachusetts Securities Division
ORGANIZATION6 w/ Internal·6 w/ Lehman
Dept. of
ORGANIZATION6 w/ Internal·6 w/ Lehman
Parent Company
ORGANIZATION6 w/ Internal·5 w/ Lehman