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Document Mentions (3 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 dients
meeting is to be called shall be provided to the Manager. In the case of a meeting called by the Soliciting Members for the purpose of terminating the Administrative Services Agreement or removing the Administrator pursuant to the Administrative Services Agreement, such written proposal shall also set forth the name, qualification
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
meeting is to be called shall be provided to the Manager. In the case of a meeting called by the Soliciting Members for the purpose of terminating the Administrative Services Agreement or removing the Administrator pursuant to the Administrative Services Agreement, such written proposal shall also set forth the name, qualification
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
meeting is to be called shall be provided to the Manager. In the case of a meeting called by the Soliciting Members for the purpose of terminating the Administrative Services Agreement or removing the Administrator pursuant to the Administrative Services Agreement, such written proposal shall also set forth the name, qualification
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Mutual Connections (126)
Entities connected to both Lehman Structured Products and the Administrative Services Agreement
the Securities and Exchange Commission
ORGANIZATION6 w/ Lehman·4 w/ the
UBS AG
ORGANIZATION5 w/ Lehman·5 w/ the
Fannie Mae
ORGANIZATION5 w/ Lehman·4 w/ the
the North American Securities Administrators Association
ORGANIZATION6 w/ Lehman·3 w/ the
Federal Reserve
ORGANIZATION5 w/ Lehman·4 w/ the
Lehman
ORGANIZATION6 w/ Lehman·3 w/ the
UBS Fund Advisor
ORGANIZATION4 w/ Lehman·5 w/ the
United States
LOCATION4 w/ Lehman·5 w/ the
UBS Securities LLC
ORGANIZATION6 w/ Lehman·3 w/ the
New York State
LOCATION6 w/ Lehman·3 w/ the
UBS Fund
ORGANIZATION5 w/ Lehman·4 w/ the
Internal Revenue Service
ORGANIZATION6 w/ Lehman·3 w/ the
New Hampshire
LOCATION6 w/ Lehman·3 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ Lehman·3 w/ the
Dept. of
ORGANIZATION6 w/ Lehman·3 w/ the
Cease & Desist
ORGANIZATION6 w/ Lehman·3 w/ the
Civil Penalty
ORGANIZATION5 w/ Lehman·3 w/ the
the Financial Advisor's
ORGANIZATION5 w/ Lehman·3 w/ the
Parent Company
ORGANIZATION5 w/ Lehman·3 w/ the
Back Taxes Payment
ORGANIZATION5 w/ Lehman·3 w/ the