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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
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and S5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
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
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and $5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
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
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and $5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
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Mutual Connections (126)
Entities connected to both Lehman Structured Products and Financial Advisors of
New York State
LOCATION6 w/ Lehman·3 w/ Financial
the North American Securities Administrators Association
ORGANIZATION6 w/ Lehman·3 w/ Financial
Internal Revenue Service
ORGANIZATION6 w/ Lehman·3 w/ Financial
Dept. of
ORGANIZATION6 w/ Lehman·3 w/ Financial
Lehman
ORGANIZATION6 w/ Lehman·3 w/ Financial
Massachusetts Securities Division
ORGANIZATION6 w/ Lehman·3 w/ Financial
Cease & Desist
ORGANIZATION6 w/ Lehman·3 w/ Financial
UBS Securities LLC
ORGANIZATION6 w/ Lehman·3 w/ Financial
the Securities and Exchange Commission
ORGANIZATION6 w/ Lehman·3 w/ Financial
New Hampshire
LOCATION6 w/ Lehman·3 w/ Financial
Fannie Mae
ORGANIZATION5 w/ Lehman·3 w/ Financial
the Financial Advisor's
ORGANIZATION5 w/ Lehman·3 w/ Financial
Parent Company
ORGANIZATION5 w/ Lehman·3 w/ Financial
Department of Justice
ORGANIZATION5 w/ Lehman·3 w/ Financial
UBS AG
ORGANIZATION5 w/ Lehman·3 w/ Financial
UBS Fund
ORGANIZATION5 w/ Lehman·3 w/ Financial
General State of NY
ORGANIZATION5 w/ Lehman·3 w/ Financial
Brought
ORGANIZATION5 w/ Lehman·3 w/ Financial
The Ohio Division of Securities
ORGANIZATION5 w/ Lehman·3 w/ Financial
Back Taxes Payment
ORGANIZATION5 w/ Lehman·3 w/ Financial