Back to Network
Lehman Structured Products
ORGANIZATIONManagement, Structure and Operations—Affiliated Relying Advisers
ORGANIZATION3
Shared Docs
3
Same-Page
3 / 3
Mentions
Document Mentions (3 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 dients
's website is www.cimoney.ky. Foreign Registrations A number of the Millennium entities are registered with their local regulators. See "The Fund's Management, Structure and Operations—Affiliated Relying Advisers." Stock Farchanges/Self-Regulatory Organizations By virtue of their exchange memberships, certain Millennium entities are also subject to oversigh
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
r approval of other actions. Foreign Registrations A number of the Millennium entities are registered with their local regulators. See "The Fund's Management, Structure and Operations—Affiliated Relying Advisers." Stock Exchanges/Self-Regulatory Organizations By virtue of their exchange memberships, a number of Millennium entities are also subject to overs
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
r approval of other actions. Foreign Registrations A number of the Millennium entities are registered with their local regulators. See "The Fund's Management, Structure and Operations—Affiliated Relying Advisers." Stock Exchanges/Self-Regulatory Organizations By virtue of their exchange memberships, a number of Millennium entities are also subject to overs
Sponsored
Mutual Connections (126)
Entities connected to both Lehman Structured Products and Management, Structure and Operations—Affiliated Relying Advisers
New York State
LOCATION6 w/ Lehman·3 w/ Management,
the North American Securities Administrators Association
ORGANIZATION6 w/ Lehman·3 w/ Management,
Internal Revenue Service
ORGANIZATION6 w/ Lehman·3 w/ Management,
Lehman
ORGANIZATION6 w/ Lehman·3 w/ Management,
Dept. of
ORGANIZATION6 w/ Lehman·3 w/ Management,
Cease & Desist
ORGANIZATION6 w/ Lehman·3 w/ Management,
Massachusetts Securities Division
ORGANIZATION6 w/ Lehman·3 w/ Management,
UBS Securities LLC
ORGANIZATION6 w/ Lehman·3 w/ Management,
the Securities and Exchange Commission
ORGANIZATION6 w/ Lehman·3 w/ Management,
New Hampshire
LOCATION6 w/ Lehman·3 w/ Management,
Federal Reserve
ORGANIZATION5 w/ Lehman·3 w/ Management,
the Financial Advisor's
ORGANIZATION5 w/ Lehman·3 w/ Management,
Parent Company
ORGANIZATION5 w/ Lehman·3 w/ Management,
Department of Justice
ORGANIZATION5 w/ Lehman·3 w/ Management,
UBS AG
ORGANIZATION5 w/ Lehman·3 w/ Management,
Fannie Mae
ORGANIZATION5 w/ Lehman·3 w/ Management,
UBS Fund
ORGANIZATION5 w/ Lehman·3 w/ Management,
General State of NY
ORGANIZATION5 w/ Lehman·3 w/ Management,
Brought
ORGANIZATION5 w/ Lehman·3 w/ Management,
The Ohio Division of Securities
ORGANIZATION5 w/ Lehman·3 w/ Management,