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Document Mentions (3 shared documents)
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n's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time of calculation, the amount by which the
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
n's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time of calculation, the amount by which the
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
n's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time of calculation, the amount by which the
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 Millennium Management LLC and Lehman Structured Products
Millennium USA LP
ORGANIZATION8 w/ Millennium·3 w/ Lehman
United States
LOCATION6 w/ Millennium·4 w/ Lehman
Millennium
ORGANIZATION7 w/ Millennium·3 w/ Lehman
New York State
LOCATION4 w/ Millennium·6 w/ Lehman
the Securities and Exchange Commission
ORGANIZATION3 w/ Millennium·6 w/ Lehman
New Hampshire
LOCATION3 w/ Millennium·6 w/ Lehman
Massachusetts Securities Division
ORGANIZATION3 w/ Millennium·6 w/ Lehman
Lehman
ORGANIZATION3 w/ Millennium·6 w/ Lehman
UBS Securities LLC
ORGANIZATION3 w/ Millennium·6 w/ Lehman
the North American Securities Administrators Association
ORGANIZATION3 w/ Millennium·6 w/ Lehman
Cease & Desist
ORGANIZATION3 w/ Millennium·6 w/ Lehman
Internal Revenue Service
ORGANIZATION3 w/ Millennium·6 w/ Lehman
Dept. of
ORGANIZATION3 w/ Millennium·6 w/ Lehman
UBS AG
ORGANIZATION3 w/ Millennium·5 w/ Lehman
General State of NY
ORGANIZATION3 w/ Millennium·5 w/ Lehman
Brought
ORGANIZATION3 w/ Millennium·5 w/ Lehman
The Ohio Division of Securities
ORGANIZATION3 w/ Millennium·5 w/ Lehman
Back Taxes Payment
ORGANIZATION3 w/ Millennium·5 w/ Lehman
Swiss Federal Banking Commission
ORGANIZATION3 w/ Millennium·5 w/ Lehman
Department of Justice
ORGANIZATION3 w/ Millennium·5 w/ Lehman