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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
books as of the first day of each Fiscal Period. The Fund Percentage of a Member for a Fiscal Period shall be determined by dividing the balance of the Member's Capital Account as of the commencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period.
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
books as of the first day of each Fiscal Period. The Fund Percentage of a Member for a Fiscal Period shall be determined by dividing the balance of the Member's Capital Account as of the commencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period.
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
books as of the first day of each Fiscal Period. The Fund Percentage of a Member for a Fiscal Period shall be determined by dividing the balance of the Member's Capital Account as of the commencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period.
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Mutual Connections (126)
Entities connected to both Lehman Structured Products and the Member's Capital Account
New York State
LOCATION6 w/ Lehman·3 w/ the
the North American Securities Administrators Association
ORGANIZATION6 w/ Lehman·3 w/ the
Internal Revenue Service
ORGANIZATION6 w/ Lehman·3 w/ the
Lehman
ORGANIZATION6 w/ Lehman·3 w/ the
Dept. of
ORGANIZATION6 w/ Lehman·3 w/ the
Cease & Desist
ORGANIZATION6 w/ Lehman·3 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ Lehman·3 w/ the
UBS Securities LLC
ORGANIZATION6 w/ Lehman·3 w/ the
the Securities and Exchange Commission
ORGANIZATION6 w/ Lehman·3 w/ the
New Hampshire
LOCATION6 w/ Lehman·3 w/ the
Federal Reserve
ORGANIZATION5 w/ Lehman·3 w/ the
the Financial Advisor's
ORGANIZATION5 w/ Lehman·3 w/ the
Parent Company
ORGANIZATION5 w/ Lehman·3 w/ the
Department of Justice
ORGANIZATION5 w/ Lehman·3 w/ the
UBS AG
ORGANIZATION5 w/ Lehman·3 w/ the
Fannie Mae
ORGANIZATION5 w/ Lehman·3 w/ the
UBS Fund
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