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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
y loans or other similar arrangements to facilitate the Fund's investment activities, including in other jurisdictions, in the future. Compliance, Legal and Ethics Oversight (CLEO) Committee The CLEO Committee is responsible for reviewing firm-wide compliance, legal and ethics issues throughout Millennium's business as
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
y loans or other similar arrangements to facilitate the Fund's investment activities, including in other jurisdictions, in the future. Compliance, Legal and Ethics Oversight (CLEO) Committee The CLEO Committee is responsible for reviewing firm-wide compliance, legal and ethics issues throughout Millennium's business as
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
y loans or other similar arrangements to facilitate the Fund's investment activities, including in other jurisdictions, in the future. Compliance, Legal and Ethics Oversight (CLEO) Committee The CLEO Committee is responsible for reviewing firm-wide compliance, legal and ethics issues throughout Millennium's business as
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Mutual Connections (126)
Entities connected to both Lehman Structured Products and Legal and Ethics Oversight
New York State
LOCATION6 w/ Lehman·3 w/ Legal
the North American Securities Administrators Association
ORGANIZATION6 w/ Lehman·3 w/ Legal
Internal Revenue Service
ORGANIZATION6 w/ Lehman·3 w/ Legal
Lehman
ORGANIZATION6 w/ Lehman·3 w/ Legal
Dept. of
ORGANIZATION6 w/ Lehman·3 w/ Legal
Cease & Desist
ORGANIZATION6 w/ Lehman·3 w/ Legal
Massachusetts Securities Division
ORGANIZATION6 w/ Lehman·3 w/ Legal
UBS Securities LLC
ORGANIZATION6 w/ Lehman·3 w/ Legal
the Securities and Exchange Commission
ORGANIZATION6 w/ Lehman·3 w/ Legal
New Hampshire
LOCATION6 w/ Lehman·3 w/ Legal
Federal Reserve
ORGANIZATION5 w/ Lehman·3 w/ Legal
the Financial Advisor's
ORGANIZATION5 w/ Lehman·3 w/ Legal
Parent Company
ORGANIZATION5 w/ Lehman·3 w/ Legal
Department of Justice
ORGANIZATION5 w/ Lehman·3 w/ Legal
UBS AG
ORGANIZATION5 w/ Lehman·3 w/ Legal
Fannie Mae
ORGANIZATION5 w/ Lehman·3 w/ Legal
UBS Fund
ORGANIZATION5 w/ Lehman·3 w/ Legal
General State of NY
ORGANIZATION5 w/ Lehman·3 w/ Legal
Brought
ORGANIZATION5 w/ Lehman·3 w/ Legal
The Ohio Division of Securities
ORGANIZATION5 w/ Lehman·3 w/ Legal