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Document Mentions (3 shared documents)
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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
to Section 4.1 hereof, in such person's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time
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
to Section 4.1 hereof, in such person's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time
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
to Section 4.1 hereof, in such person's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time
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Mutual Connections (126)
Entities connected to both Lehman Structured Products and Millennium Investment
New York State
LOCATION6 w/ Lehman·3 w/ Millennium
the North American Securities Administrators Association
ORGANIZATION6 w/ Lehman·3 w/ Millennium
Internal Revenue Service
ORGANIZATION6 w/ Lehman·3 w/ Millennium
Lehman
ORGANIZATION6 w/ Lehman·3 w/ Millennium
Dept. of
ORGANIZATION6 w/ Lehman·3 w/ Millennium
Cease & Desist
ORGANIZATION6 w/ Lehman·3 w/ Millennium
Massachusetts Securities Division
ORGANIZATION6 w/ Lehman·3 w/ Millennium
UBS Securities LLC
ORGANIZATION6 w/ Lehman·3 w/ Millennium
the Securities and Exchange Commission
ORGANIZATION6 w/ Lehman·3 w/ Millennium
New Hampshire
LOCATION6 w/ Lehman·3 w/ Millennium
Federal Reserve
ORGANIZATION5 w/ Lehman·3 w/ Millennium
the Financial Advisor's
ORGANIZATION5 w/ Lehman·3 w/ Millennium
Parent Company
ORGANIZATION5 w/ Lehman·3 w/ Millennium
Department of Justice
ORGANIZATION5 w/ Lehman·3 w/ Millennium
UBS AG
ORGANIZATION5 w/ Lehman·3 w/ Millennium
Fannie Mae
ORGANIZATION5 w/ Lehman·3 w/ Millennium
UBS Fund
ORGANIZATION5 w/ Lehman·3 w/ Millennium
General State of NY
ORGANIZATION5 w/ Lehman·3 w/ Millennium
Brought
ORGANIZATION5 w/ Lehman·3 w/ Millennium
The Ohio Division of Securities
ORGANIZATION5 w/ Lehman·3 w/ Millennium