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llocated among and credited to or debited against the Capital Accounts of the Members in accordance with their respective Fund Percentages for such Fiscal Period, except to the extent otherwise provided in this Agreement with respect to items of profit or loss that are to be allocated on a non-pro rata basis
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
llocated among and credited to or debited against the Capital Accounts of the Members in accordance with their respective Fund Percentages for such Fiscal Period, except to the extent otherwise provided in this Agreement with respect to items of profit or loss that are to be allocated on a non-pro rata basis
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
llocated among and credited to or debited against the Capital Accounts of the Members in accordance with their respective Fund Percentages for such Fiscal Period, except to the extent otherwise provided in this Agreement with respect to items of profit or loss that are to be allocated on a non-pro rata basis
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 Fiscal Period and Lehman Structured Products
the North American Securities Administrators Association
ORGANIZATION3 w/ Fiscal·6 w/ Lehman
UBS Securities LLC
ORGANIZATION3 w/ Fiscal·6 w/ Lehman
Cease & Desist
ORGANIZATION3 w/ Fiscal·6 w/ Lehman
Lehman
ORGANIZATION3 w/ Fiscal·6 w/ Lehman
Dept. of
ORGANIZATION3 w/ Fiscal·6 w/ Lehman
New York State
LOCATION3 w/ Fiscal·6 w/ Lehman
New Hampshire
LOCATION3 w/ Fiscal·6 w/ Lehman
Massachusetts Securities Division
ORGANIZATION3 w/ Fiscal·6 w/ Lehman
the Securities and Exchange Commission
ORGANIZATION3 w/ Fiscal·6 w/ Lehman
Internal Revenue Service
ORGANIZATION3 w/ Fiscal·6 w/ Lehman
Swiss Federal Banking Commission
ORGANIZATION3 w/ Fiscal·5 w/ Lehman
Parent Company
ORGANIZATION3 w/ Fiscal·5 w/ Lehman
Samantha Power
PERSON4 w/ Fiscal·4 w/ Lehman
Wilmington
LOCATION5 w/ Fiscal·3 w/ Lehman
Department of Justice
ORGANIZATION3 w/ Fiscal·5 w/ Lehman
UBS Fund
ORGANIZATION3 w/ Fiscal·5 w/ Lehman
Civil Penalty
ORGANIZATION3 w/ Fiscal·5 w/ Lehman
General State of NY
ORGANIZATION3 w/ Fiscal·5 w/ Lehman
Brought
ORGANIZATION3 w/ Fiscal·5 w/ Lehman
The Ohio Division of Securities
ORGANIZATION3 w/ Fiscal·5 w/ Lehman