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er covenants that, except as required by applicable law or any regulatory body, it will not divulge, furnish or make accessible to any other person the Confidential Information without the prior written consent of the Manager, which consent may be withheld in its sole discretion. (b) Each Member recognizes that in the eve
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
er covenants that, except as required by applicable law or any regulatory body, it will not divulge, furnish or make accessible to any other person the Confidential Information without the prior written consent of the Manager, which consent may be withheld in its sole discretion. (b) Each Member recognizes that in the eve
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
er covenants that, except as required by applicable law or any regulatory body, it will not divulge, furnish or make accessible to any other person the Confidential Information without the prior written consent of the Manager, which consent may be withheld in its sole discretion. (b) Each Member recognizes that in the eve
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 (126)
Entities connected to both the Confidential Information and Lehman Structured Products
United States
LOCATION16 w/ the·4 w/ Lehman
Samantha Power
PERSON10 w/ the·4 w/ Lehman
the Securities and Exchange Commission
ORGANIZATION5 w/ the·6 w/ Lehman
the State of New York
LOCATION9 w/ the·2 w/ Lehman
Cayman
LOCATION8 w/ the·3 w/ Lehman
New York
LOCATION8 w/ the·3 w/ Lehman
Wilmington
LOCATION7 w/ the·3 w/ Lehman
Dept. of
ORGANIZATION3 w/ the·6 w/ Lehman
Internal Revenue Service
ORGANIZATION3 w/ the·6 w/ Lehman
New York State
LOCATION3 w/ the·6 w/ Lehman
Cease & Desist
ORGANIZATION3 w/ the·6 w/ Lehman
UBS Securities LLC
ORGANIZATION3 w/ the·6 w/ Lehman
Department of Justice
ORGANIZATION4 w/ the·5 w/ Lehman
Lehman
ORGANIZATION3 w/ the·6 w/ Lehman
Massachusetts Securities Division
ORGANIZATION3 w/ the·6 w/ Lehman
New Hampshire
LOCATION3 w/ the·6 w/ Lehman
the North American Securities Administrators Association
ORGANIZATION3 w/ the·6 w/ Lehman
Ghislaine Maxwell
PERSON5 w/ the·4 w/ Lehman
Fannie Mae
ORGANIZATION3 w/ the·5 w/ Lehman
UBS Fund
ORGANIZATION3 w/ the·5 w/ Lehman