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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
s of 50% (or such other specified percentage) of the aggregate Capital Account balances of all Members. Majority (or other specified percentage) in Unaffiliated Interest means, as of any date, one or more Unaffiliated Members that then in the aggregate have Unaffiliated Fund Percentages in excess of 50% (or such oth
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 of 50% (or such other specified percentage) of the aggregate Capital Account balances of all Members. Majority (or other specified percentage) in Unaffiliated Interest means, as of any date, one or more Unaffiliated Members that then in the aggregate have Unaffiliated Fund Percentages in excess of 50% (or such oth
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 of 50% (or such other specified percentage) of the aggregate Capital Account balances of all Members. Majority (or other specified percentage) in Unaffiliated Interest means, as of any date, one or more Unaffiliated Members that then in the aggregate have Unaffiliated Fund Percentages in excess of 50% (or such oth
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Mutual Connections (126)
Entities connected to both Lehman Structured Products and Unaffiliated Interest
New York State
LOCATION6 w/ Lehman·3 w/ Unaffiliated
the North American Securities Administrators Association
ORGANIZATION6 w/ Lehman·3 w/ Unaffiliated
Internal Revenue Service
ORGANIZATION6 w/ Lehman·3 w/ Unaffiliated
Lehman
ORGANIZATION6 w/ Lehman·3 w/ Unaffiliated
Dept. of
ORGANIZATION6 w/ Lehman·3 w/ Unaffiliated
Cease & Desist
ORGANIZATION6 w/ Lehman·3 w/ Unaffiliated
Massachusetts Securities Division
ORGANIZATION6 w/ Lehman·3 w/ Unaffiliated
UBS Securities LLC
ORGANIZATION6 w/ Lehman·3 w/ Unaffiliated
the Securities and Exchange Commission
ORGANIZATION6 w/ Lehman·3 w/ Unaffiliated
New Hampshire
LOCATION6 w/ Lehman·3 w/ Unaffiliated
Federal Reserve
ORGANIZATION5 w/ Lehman·3 w/ Unaffiliated
the Financial Advisor's
ORGANIZATION5 w/ Lehman·3 w/ Unaffiliated
Parent Company
ORGANIZATION5 w/ Lehman·3 w/ Unaffiliated
Department of Justice
ORGANIZATION5 w/ Lehman·3 w/ Unaffiliated
UBS AG
ORGANIZATION5 w/ Lehman·3 w/ Unaffiliated
Fannie Mae
ORGANIZATION5 w/ Lehman·3 w/ Unaffiliated
UBS Fund
ORGANIZATION5 w/ Lehman·3 w/ Unaffiliated
General State of NY
ORGANIZATION5 w/ Lehman·3 w/ Unaffiliated
Brought
ORGANIZATION5 w/ Lehman·3 w/ Unaffiliated
The Ohio Division of Securities
ORGANIZATION5 w/ Lehman·3 w/ Unaffiliated