Back to Network
4
Shared Docs
4
Same-Page
4 / 4
Mentions
Document Mentions (4 shared documents)
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 client
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
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
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
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
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
Sponsored
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
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
Sponsored
Mutual Connections (127)
Entities connected to both Lehman Structured Products and the Connecticut Department of Banking
Lehman
ORGANIZATION6 w/ Lehman·4 w/ the
New Hampshire
LOCATION6 w/ Lehman·4 w/ the
Dept. of
ORGANIZATION6 w/ Lehman·4 w/ the
UBS Securities LLC
ORGANIZATION6 w/ Lehman·4 w/ the
the Securities and Exchange Commission
ORGANIZATION6 w/ Lehman·4 w/ the
New York State
LOCATION6 w/ Lehman·4 w/ the
Internal Revenue Service
ORGANIZATION6 w/ Lehman·4 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ Lehman·4 w/ the
the North American Securities Administrators Association
ORGANIZATION6 w/ Lehman·4 w/ the
Cease & Desist
ORGANIZATION6 w/ Lehman·4 w/ the
General State of NY
ORGANIZATION5 w/ Lehman·4 w/ the
Department of Justice
ORGANIZATION5 w/ Lehman·4 w/ the
The Ohio Division of Securities
ORGANIZATION5 w/ Lehman·4 w/ the
Civil Penalty
ORGANIZATION5 w/ Lehman·4 w/ the
the Financial Advisor's
ORGANIZATION5 w/ Lehman·4 w/ the
Parent Company
ORGANIZATION5 w/ Lehman·4 w/ the
Back Taxes Payment
ORGANIZATION5 w/ Lehman·4 w/ the
Brought
ORGANIZATION5 w/ Lehman·4 w/ the
UBS AG
ORGANIZATION5 w/ Lehman·4 w/ the
UBS Fund
ORGANIZATION5 w/ Lehman·4 w/ the