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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
ncial products that relate to investment in investment funds increases, Millennium will continually evaluate new sources of financing and leverage. The Fund's Risk Management Program Millennium maintains an investment risk assessment and management program designed to identify, measure, monitor, manage and report on the market r
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
llennium will continually evaluate new sources of financing and leverage. ML281817-MAXWELL II-5I CONFIDENTIAL UBSTERRAMAR00002467 EFTA00238023 The Fund's Risk Management Program Millennium maintains an investment risk assessment and management program designed to identify, measure, monitor, manage and report on the market r
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
ases, Millennium will continually evaluate new sources of financing and leverage. -MAXWELL II-5I CONFIDENTIAL UBSTERRAMAR00001414 EFTA00237060 The Fund's Risk Management Program Millennium maintains an investment risk assessment and management program designed to identify, measure, monitor, manage and report on the market r
Sponsored
Mutual Connections (126)
Entities connected to both Lehman Structured Products and The Fund's Risk Management Program
the Securities and Exchange Commission
ORGANIZATION6 w/ Lehman·4 w/ The
New York State
LOCATION6 w/ Lehman·4 w/ The
Lehman
ORGANIZATION6 w/ Lehman·3 w/ The
Cease & Desist
ORGANIZATION6 w/ Lehman·3 w/ The
UBS AG
ORGANIZATION5 w/ Lehman·4 w/ The
Dept. of
ORGANIZATION6 w/ Lehman·3 w/ The
Internal Revenue Service
ORGANIZATION6 w/ Lehman·3 w/ The
New Hampshire
LOCATION6 w/ Lehman·3 w/ The
UBS Fund
ORGANIZATION5 w/ Lehman·4 w/ The
the North American Securities Administrators Association
ORGANIZATION6 w/ Lehman·3 w/ The
UBS Securities LLC
ORGANIZATION6 w/ Lehman·3 w/ The
Massachusetts Securities Division
ORGANIZATION6 w/ Lehman·3 w/ The
Federal Reserve
ORGANIZATION5 w/ Lehman·3 w/ The
General State of NY
ORGANIZATION5 w/ Lehman·3 w/ The
Brought
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
UBS Fund Advisor
ORGANIZATION4 w/ Lehman·4 w/ The
Millennium USA LP
ORGANIZATION3 w/ Lehman·5 w/ The