Back to Network
3
Shared Docs
3
Same-Page
3 / 3
Mentions
Document Mentions (3 shared documents)
2 mentions1 same-page
Page ?Same page
et Profit or Net Loss means the amount by which the Net Assets as of the close of business on the last day of a Fiscal Period exceed (in the case of Net Profit) or are less than (in the case of Net Loss) the Net Assets as of the commencement of the same Fiscal Period (or, with respect to the initial Fiscal
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
et Profit or Net Loss means the amount by which the Net Assets as of the close of business on the last day of a Fiscal Period exceed (in the case of Net Profit) or are less than (in the case of Net Loss) the Net Assets as of the commencement of the same Fiscal Period (or, with respect to the initial Fiscal
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
et Profit or Net Loss means the amount by which the Net Assets as of the close of business on the last day of a Fiscal Period exceed (in the case of Net Profit) or are less than (in the case of Net Loss) the Net Assets as of the commencement of the same Fiscal Period (or, with respect to the initial Fiscal
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
Sponsored
Mutual Connections (126)
Entities connected to both Net Profit and Lehman Structured Products
Massachusetts Securities Division
ORGANIZATION3 w/ Net·6 w/ Lehman
the North American Securities Administrators Association
ORGANIZATION3 w/ Net·6 w/ Lehman
New Hampshire
LOCATION3 w/ Net·6 w/ Lehman
Cease & Desist
ORGANIZATION3 w/ Net·6 w/ Lehman
UBS Securities LLC
ORGANIZATION3 w/ Net·6 w/ Lehman
the Securities and Exchange Commission
ORGANIZATION3 w/ Net·6 w/ Lehman
Internal Revenue Service
ORGANIZATION3 w/ Net·6 w/ Lehman
Dept. of
ORGANIZATION3 w/ Net·6 w/ Lehman
Lehman
ORGANIZATION3 w/ Net·6 w/ Lehman
New York State
LOCATION3 w/ Net·6 w/ Lehman
Wilmington
LOCATION6 w/ Net·3 w/ Lehman
the Financial Advisor's
ORGANIZATION3 w/ Net·5 w/ Lehman
Fannie Mae
ORGANIZATION3 w/ Net·5 w/ Lehman
Department of Justice
ORGANIZATION3 w/ Net·5 w/ Lehman
UBS Fund
ORGANIZATION3 w/ Net·5 w/ Lehman
Civil Penalty
ORGANIZATION3 w/ Net·5 w/ Lehman
General State of NY
ORGANIZATION3 w/ Net·5 w/ Lehman
Brought
ORGANIZATION3 w/ Net·5 w/ Lehman
The Ohio Division of Securities
ORGANIZATION3 w/ Net·5 w/ Lehman
Back Taxes Payment
ORGANIZATION3 w/ Net·5 w/ Lehman