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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
y the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no substantive limits on the investment strategies that may be pursued by the Fund. The Fund's capital may be invested in strategies othe
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
y the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no substantive limits on the investment strategies that may be pursued by the Fund. The Fund's capital may be invested in strategies othe
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
y the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no substantive limits on the investment strategies that may be pursued by the Fund. The Fund's capital may be invested in strategies othe
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Mutual Connections (126)
Entities connected to both Lehman Structured Products and Strategy Development
UBS Securities LLC
ORGANIZATION6 w/ Lehman·4 w/ Strategy
New York State
LOCATION6 w/ Lehman·4 w/ Strategy
Massachusetts Securities Division
ORGANIZATION6 w/ Lehman·3 w/ Strategy
the North American Securities Administrators Association
ORGANIZATION6 w/ Lehman·3 w/ Strategy
the Securities and Exchange Commission
ORGANIZATION6 w/ Lehman·3 w/ Strategy
Internal Revenue Service
ORGANIZATION6 w/ Lehman·3 w/ Strategy
Dept. of
ORGANIZATION6 w/ Lehman·3 w/ Strategy
New Hampshire
LOCATION6 w/ Lehman·3 w/ Strategy
Lehman
ORGANIZATION6 w/ Lehman·3 w/ Strategy
Cease & Desist
ORGANIZATION6 w/ Lehman·3 w/ Strategy
Federal Reserve
ORGANIZATION5 w/ Lehman·4 w/ Strategy
Civil Penalty
ORGANIZATION5 w/ Lehman·3 w/ Strategy
Parent Company
ORGANIZATION5 w/ Lehman·3 w/ Strategy
United States
LOCATION4 w/ Lehman·4 w/ Strategy
Department of Justice
ORGANIZATION5 w/ Lehman·3 w/ Strategy
UBS Fund
ORGANIZATION5 w/ Lehman·3 w/ Strategy
the Financial Advisor's
ORGANIZATION5 w/ Lehman·3 w/ Strategy
General State of NY
ORGANIZATION5 w/ Lehman·3 w/ Strategy
Brought
ORGANIZATION5 w/ Lehman·3 w/ Strategy
The Ohio Division of Securities
ORGANIZATION5 w/ Lehman·3 w/ Strategy