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follows: (i) to allocate such income among such Positive Basis Members until either the full amount of such income shall have been so allocated or the Positive Basis of each such Positive Basis Member shall have been eliminated, and (ii) to allocate any income not so allocated to Positive Basis Members to the ot
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
follows: (i) to allocate such income among such Positive Basis Members until either the full amount of such income shall have been so allocated or the Positive Basis of each such Positive Basis Member shall have been eliminated, and (ii) to allocate any income not so allocated to Positive Basis Members to the ot
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
follows: (i) to allocate such income among such Positive Basis Members until either the full amount of such income shall have been so allocated or the Positive Basis of each such Positive Basis Member shall have been eliminated, and (ii) to allocate any income not so allocated to Positive Basis Members to the ot
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 Positive Basis and Lehman Structured Products
the Securities and Exchange Commission
ORGANIZATION4 w/ the·6 w/ Lehman
New Hampshire
LOCATION3 w/ the·6 w/ Lehman
Dept. of
ORGANIZATION3 w/ the·6 w/ Lehman
UBS Securities LLC
ORGANIZATION3 w/ the·6 w/ Lehman
New York State
LOCATION3 w/ the·6 w/ Lehman
Internal Revenue Service
ORGANIZATION3 w/ the·6 w/ Lehman
Massachusetts Securities Division
ORGANIZATION3 w/ the·6 w/ Lehman
the North American Securities Administrators Association
ORGANIZATION3 w/ the·6 w/ Lehman
Cease & Desist
ORGANIZATION3 w/ the·6 w/ Lehman
Samantha Power
PERSON5 w/ the·4 w/ Lehman
Lehman
ORGANIZATION3 w/ the·6 w/ Lehman
Back Taxes Payment
ORGANIZATION3 w/ the·5 w/ Lehman
the Financial Advisor's
ORGANIZATION3 w/ the·5 w/ Lehman
Department of Justice
ORGANIZATION3 w/ the·5 w/ Lehman
Swiss Federal Banking Commission
ORGANIZATION3 w/ the·5 w/ Lehman
UBS AG
ORGANIZATION3 w/ the·5 w/ Lehman
Civil Penalty
ORGANIZATION3 w/ the·5 w/ Lehman
Fannie Mae
ORGANIZATION3 w/ the·5 w/ Lehman
General State of NY
ORGANIZATION3 w/ the·5 w/ Lehman
Brought
ORGANIZATION3 w/ the·5 w/ Lehman