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ager to review any transactions that require approval under the Advisers Act, including Section 206(3) thereunder, or otherwise. Delaware Act means the Delaware Limited Liability Company Act (6 Del.C. § 18-101 et seq.) as in effect on the date hereof and as amended from time to time, or any successor law. ERISA means the Employee Retire
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
ager to review any transactions that require approval under the Advisers Act, including Section 206(3) thereunder, or otherwise. Delaware Act means the Delaware Limited Liability Company Act (6 Del.C. § 18-101 et seq.) as in effect on the date hereof and as amended from time to time, or any successor law. ERISA means the Employee Retire
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
ager to review any transactions that require approval under the Advisers Act, including Section 206(3) thereunder, or otherwise. Delaware Act means the Delaware Limited Liability Company Act (6 Del.C. § 18-101 et seq.) as in effect on the date hereof and as amended from time to time, or any successor law. ERISA means the Employee Retire
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 Delaware Limited Liability Company Act and Lehman Structured Products
Internal Revenue Service
ORGANIZATION7 w/ the·6 w/ Lehman
New York State
LOCATION4 w/ the·6 w/ Lehman
United States
LOCATION6 w/ the·4 w/ Lehman
UBS Securities LLC
ORGANIZATION4 w/ the·6 w/ Lehman
the Certificate of Formation
ORGANIZATION6 w/ the·3 w/ Lehman
Cease & Desist
ORGANIZATION3 w/ the·6 w/ Lehman
Dept. of
ORGANIZATION3 w/ the·6 w/ Lehman
the Securities and Exchange Commission
ORGANIZATION3 w/ the·6 w/ Lehman
Lehman
ORGANIZATION3 w/ the·6 w/ Lehman
the North American Securities Administrators Association
ORGANIZATION3 w/ the·6 w/ Lehman
Massachusetts Securities Division
ORGANIZATION3 w/ the·6 w/ Lehman
New Hampshire
LOCATION3 w/ the·6 w/ Lehman
New York
LOCATION6 w/ the·3 w/ Lehman
Department of Justice
ORGANIZATION4 w/ the·5 w/ Lehman
Federal Reserve
ORGANIZATION3 w/ the·5 w/ Lehman
UBS Fund
ORGANIZATION3 w/ the·5 w/ Lehman
Civil Penalty
ORGANIZATION3 w/ the·5 w/ Lehman
General State of NY
ORGANIZATION3 w/ the·5 w/ Lehman
Brought
ORGANIZATION3 w/ the·5 w/ Lehman
The Ohio Division of Securities
ORGANIZATION3 w/ the·5 w/ Lehman