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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
on-USD Shares, and the Feeder Funds may in the future offer other interests which have different functional currencies or reference assets. As with the Non-USD Shares, the terms of such interests may provide that the applicable Feeder Fund may seek to hedge the exposure of such interests to minimize, to the exten
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
on-USD Shares, and the Feeder Funds may in the future offer other interests which have different functional currencies or reference assets. As with the Non-USD Shares, the terms of such interests may provide that the applicable Feeder Fund will seek to hedge the exposure of such interests to minimize, to the exte
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
on-USD Shares, and the Feeder Funds may in the future offer other interests which have different functional currencies or reference assets. As with the Non-USD Shares, the terms of such interests may provide that the applicable Feeder Fund will seek to hedge the exposure of such interests to minimize, to the exte
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Mutual Connections (127)
Entities connected to both Lehman Structured Products and the Non-USD Shares
New York State
LOCATION6 w/ Lehman·6 w/ the
Lehman
ORGANIZATION6 w/ Lehman·5 w/ the
the North American Securities Administrators Association
ORGANIZATION6 w/ Lehman·3 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ Lehman·3 w/ the
New Hampshire
LOCATION6 w/ Lehman·3 w/ the
the Securities and Exchange Commission
ORGANIZATION6 w/ Lehman·3 w/ the
Millennium
ORGANIZATION3 w/ Lehman·6 w/ the
Mohammed bin Salman
PERSON3 w/ Lehman·6 w/ the
England
LOCATION3 w/ Lehman·6 w/ the
Cayman Islands Tax Matters
ORGANIZATION3 w/ Lehman·6 w/ the
UBS Securities LLC
ORGANIZATION6 w/ Lehman·3 w/ the
New York
LOCATION3 w/ Lehman·6 w/ the
the Mutual Funds Law
ORGANIZATION3 w/ Lehman·6 w/ the
Internal Revenue Service
ORGANIZATION6 w/ Lehman·3 w/ the
the Cayman Islands Monetary Authority
ORGANIZATION3 w/ Lehman·6 w/ the
Ernst & Young LLP
ORGANIZATION3 w/ Lehman·6 w/ the
Millennium USA LP
ORGANIZATION3 w/ Lehman·6 w/ the
Cayman
LOCATION3 w/ Lehman·6 w/ the
Dept. of
ORGANIZATION6 w/ Lehman·3 w/ the
Cease & Desist
ORGANIZATION6 w/ Lehman·3 w/ the