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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
f this Agreement, the transferee shall succeed to the Capital Account of the transferor to the extent it relates to the transferred Interest. 5.4 Allocation of Net Profit and Net Loss. As of the last day of each Fiscal Period, any Net Profit or Net Loss for the Fiscal Period shall be allocated among and credited to or debited agai
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
f this Agreement, the transferee shall succeed to the Capital Account of the transferor to the extent it relates to the transferred Interest. 5.4 Allocation of Net Profit and Net Loss. As of the last day of each Fiscal Period, any Net Profit or Net Loss for the Fiscal Period shall be allocated among and credited to or debited agai
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
f this Agreement, the transferee shall succeed to the Capital Account of the transferor to the extent it relates to the transferred Interest. 5.4 Allocation of Net Profit and Net Loss. As of the last day of each Fiscal Period, any Net Profit or Net Loss for the Fiscal Period shall be allocated among and credited to or debited agai
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Mutual Connections (126)
Entities connected to both Lehman Structured Products and Allocation of Net Profit and Net Loss
New York State
LOCATION6 w/ Lehman·3 w/ Allocation
the North American Securities Administrators Association
ORGANIZATION6 w/ Lehman·3 w/ Allocation
Internal Revenue Service
ORGANIZATION6 w/ Lehman·3 w/ Allocation
Lehman
ORGANIZATION6 w/ Lehman·3 w/ Allocation
Dept. of
ORGANIZATION6 w/ Lehman·3 w/ Allocation
Cease & Desist
ORGANIZATION6 w/ Lehman·3 w/ Allocation
Massachusetts Securities Division
ORGANIZATION6 w/ Lehman·3 w/ Allocation
UBS Securities LLC
ORGANIZATION6 w/ Lehman·3 w/ Allocation
the Securities and Exchange Commission
ORGANIZATION6 w/ Lehman·3 w/ Allocation
New Hampshire
LOCATION6 w/ Lehman·3 w/ Allocation
Federal Reserve
ORGANIZATION5 w/ Lehman·3 w/ Allocation
the Financial Advisor's
ORGANIZATION5 w/ Lehman·3 w/ Allocation
Parent Company
ORGANIZATION5 w/ Lehman·3 w/ Allocation
Department of Justice
ORGANIZATION5 w/ Lehman·3 w/ Allocation
UBS AG
ORGANIZATION5 w/ Lehman·3 w/ Allocation
Fannie Mae
ORGANIZATION5 w/ Lehman·3 w/ Allocation
UBS Fund
ORGANIZATION5 w/ Lehman·3 w/ Allocation
General State of NY
ORGANIZATION5 w/ Lehman·3 w/ Allocation
Brought
ORGANIZATION5 w/ Lehman·3 w/ Allocation
The Ohio Division of Securities
ORGANIZATION5 w/ Lehman·3 w/ Allocation