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Document Mentions (5 shared documents)
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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 client
ation 60 (11 NYCRR 51.5). 10. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By. Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales cerson license. ML281837-MAXWELL Page 3 of 4 CONFIDENTIAL
2 mentions1 same-page
Page ?Same page
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 client
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. ER30 378-MAXWELL Page 3 of 4 CONFIDENTIAL
2 mentions1 same-page
Page ?Same page
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
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. Page 3 of 4 CONFI DENTIAL UBSTERFtAMAR000
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2 mentions1 same-page
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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
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. "\.1.172-8-1-8 1 7-M A X ‘,/Wht. Page 3 of
2 mentions1 same-page
Page ?Same page
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
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. - rvi-A ><WVE L L Page 3 of 4 CONFIDENTIA
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Mutual Connections (130)
Entities connected to both Lehman Structured Products and The Ohio Division of Securities
UBS Securities LLC
ORGANIZATION6 w/ Lehman·7 w/ The
Brought
ORGANIZATION5 w/ Lehman·7 w/ The
Lehman
ORGANIZATION6 w/ Lehman·5 w/ The
New Hampshire
LOCATION6 w/ Lehman·5 w/ The
Dept. of
ORGANIZATION6 w/ Lehman·5 w/ The
the Securities and Exchange Commission
ORGANIZATION6 w/ Lehman·5 w/ The
New York State
LOCATION6 w/ Lehman·5 w/ The
Internal Revenue Service
ORGANIZATION6 w/ Lehman·5 w/ The
Massachusetts Securities Division
ORGANIZATION6 w/ Lehman·5 w/ The
the North American Securities Administrators Association
ORGANIZATION6 w/ Lehman·5 w/ The
Cease & Desist
ORGANIZATION6 w/ Lehman·5 w/ The
Department of Justice
ORGANIZATION5 w/ Lehman·5 w/ The
General State of NY
ORGANIZATION5 w/ Lehman·5 w/ The
UBS Fund
ORGANIZATION5 w/ Lehman·5 w/ The
Federal Reserve
ORGANIZATION5 w/ Lehman·5 w/ The
the Financial Advisor's
ORGANIZATION5 w/ Lehman·5 w/ The
Parent Company
ORGANIZATION5 w/ Lehman·5 w/ The
Civil Penalty
ORGANIZATION5 w/ Lehman·5 w/ The
Swiss Federal Banking Commission
ORGANIZATION5 w/ Lehman·5 w/ The
Fannie Mae
ORGANIZATION5 w/ Lehman·5 w/ The