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t forth in the Certificate of Formation as filed in the office of the Secretary of State pursuant to the Act, and upon the giving of such notice in the Certificate of Formation, the statutory provisions of Section 18-215 of the Act (and the statutory effect under Section 18-215 of setting forth such notice in the certifica
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
t forth in the Certificate of Formation as filed in the office of the Secretary of State pursuant to the Act, and upon the giving of such notice in the Certificate of Formation, the statutory provisions of Section 18-215 of the Act (and the statutory effect under Section 18-215 of setting forth such notice in the certifica
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
t forth in the Certificate of Formation as filed in the office of the Secretary of State pursuant to the Act, and upon the giving of such notice in the Certificate of Formation, the statutory provisions of Section 18-215 of the Act (and the statutory effect under Section 18-215 of setting forth such notice in the certifica
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 Certificate of Formation and Lehman Structured Products
Internal Revenue Service
ORGANIZATION5 w/ the·6 w/ Lehman
the North American Securities Administrators Association
ORGANIZATION3 w/ the·6 w/ Lehman
the Securities and Exchange Commission
ORGANIZATION3 w/ the·6 w/ Lehman
Cease & Desist
ORGANIZATION3 w/ the·6 w/ Lehman
Dept. of
ORGANIZATION3 w/ the·6 w/ Lehman
UBS Securities LLC
ORGANIZATION3 w/ the·6 w/ Lehman
New Hampshire
LOCATION3 w/ the·6 w/ Lehman
the Delaware Limited Liability Company Act
ORGANIZATION6 w/ the·3 w/ Lehman
New York State
LOCATION3 w/ the·6 w/ Lehman
Massachusetts Securities Division
ORGANIZATION3 w/ the·6 w/ Lehman
Lehman
ORGANIZATION3 w/ the·6 w/ Lehman
the Financial Advisor's
ORGANIZATION3 w/ the·5 w/ Lehman
Samantha Power
PERSON4 w/ the·4 w/ Lehman
Department of Justice
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
Back Taxes Payment
ORGANIZATION3 w/ the·5 w/ Lehman