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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
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
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
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
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
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
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Mutual Connections (126)
Entities connected to both Lehman Structured Products and Broker-Dealer
New York State
LOCATION6 w/ Lehman·3 w/ Broker-Dealer
the North American Securities Administrators Association
ORGANIZATION6 w/ Lehman·3 w/ Broker-Dealer
Internal Revenue Service
ORGANIZATION6 w/ Lehman·3 w/ Broker-Dealer
Lehman
ORGANIZATION6 w/ Lehman·3 w/ Broker-Dealer
Dept. of
ORGANIZATION6 w/ Lehman·3 w/ Broker-Dealer
Cease & Desist
ORGANIZATION6 w/ Lehman·3 w/ Broker-Dealer
Massachusetts Securities Division
ORGANIZATION6 w/ Lehman·3 w/ Broker-Dealer
UBS Securities LLC
ORGANIZATION6 w/ Lehman·3 w/ Broker-Dealer
the Securities and Exchange Commission
ORGANIZATION6 w/ Lehman·3 w/ Broker-Dealer
New Hampshire
LOCATION6 w/ Lehman·3 w/ Broker-Dealer
Federal Reserve
ORGANIZATION5 w/ Lehman·3 w/ Broker-Dealer
the Financial Advisor's
ORGANIZATION5 w/ Lehman·3 w/ Broker-Dealer
Parent Company
ORGANIZATION5 w/ Lehman·3 w/ Broker-Dealer
Department of Justice
ORGANIZATION5 w/ Lehman·3 w/ Broker-Dealer
UBS AG
ORGANIZATION5 w/ Lehman·3 w/ Broker-Dealer
Fannie Mae
ORGANIZATION5 w/ Lehman·3 w/ Broker-Dealer
UBS Fund
ORGANIZATION5 w/ Lehman·3 w/ Broker-Dealer
General State of NY
ORGANIZATION5 w/ Lehman·3 w/ Broker-Dealer
Brought
ORGANIZATION5 w/ Lehman·3 w/ Broker-Dealer
The Ohio Division of Securities
ORGANIZATION5 w/ Lehman·3 w/ Broker-Dealer