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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
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the oth
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
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the oth
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
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the oth
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Mutual Connections (126)
Entities connected to both Lehman Structured Products and the Negative Basis
New York State
LOCATION6 w/ Lehman·3 w/ the
the North American Securities Administrators Association
ORGANIZATION6 w/ Lehman·3 w/ the
Internal Revenue Service
ORGANIZATION6 w/ Lehman·3 w/ the
Dept. of
ORGANIZATION6 w/ Lehman·3 w/ the
Lehman
ORGANIZATION6 w/ Lehman·3 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ Lehman·3 w/ the
Cease & Desist
ORGANIZATION6 w/ Lehman·3 w/ the
UBS Securities LLC
ORGANIZATION6 w/ Lehman·3 w/ the
the Securities and Exchange Commission
ORGANIZATION6 w/ Lehman·3 w/ the
New Hampshire
LOCATION6 w/ Lehman·3 w/ the
Fannie Mae
ORGANIZATION5 w/ Lehman·3 w/ the
the Financial Advisor's
ORGANIZATION5 w/ Lehman·3 w/ the
Parent Company
ORGANIZATION5 w/ Lehman·3 w/ the
Department of Justice
ORGANIZATION5 w/ Lehman·3 w/ the
UBS AG
ORGANIZATION5 w/ Lehman·3 w/ the
UBS Fund
ORGANIZATION5 w/ Lehman·3 w/ the
The Ohio Division of Securities
ORGANIZATION5 w/ Lehman·3 w/ the
Back Taxes Payment
ORGANIZATION5 w/ Lehman·3 w/ the
Swiss Federal Banking Commission
ORGANIZATION5 w/ Lehman·3 w/ the
Federal Reserve
ORGANIZATION5 w/ Lehman·3 w/ the