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Document Mentions (3 shared documents)
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esignated from time to time by the Manager. The Fund shall have its registered office in the State of Delaware at 2711 Centerville Road, Suite 400, Wilmington, New Castle County, Delaware 19808, and shall have Corporation Service Company as its registered agent at such registered office for service of proc
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
2 mentions1 same-page
Page ?Same page
esignated from time to time by the Manager. The Fund shall have its registered office in the State of Delaware at 2711 Centerville Road, Suite 400, Wilmington, New Castle County, Delaware 19808, and shall have Corporation Service Company as its registered agent at such registered office for service of proc
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
2 mentions1 same-page
Page ?Same page
esignated from time to time by the Manager. The Fund shall have its registered office in the State of Delaware at 2711 Centerville Road, Suite 400, Wilmington, New Castle County, Delaware 19808, and shall have Corporation Service Company as its registered agent at such registered office for service of proc
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
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Mutual Connections (126)
Entities connected to both Wilmington and Lehman Structured Products
Ghislaine Maxwell
PERSON83 w/ Wilmington·4 w/ Lehman
United States
LOCATION77 w/ Wilmington·4 w/ Lehman
Samantha Power
PERSON76 w/ Wilmington·4 w/ Lehman
Department of Justice
ORGANIZATION48 w/ Wilmington·5 w/ Lehman
New York State
LOCATION39 w/ Wilmington·6 w/ Lehman
Marc Rich
PERSON36 w/ Wilmington·3 w/ Lehman
New York
LOCATION29 w/ Wilmington·3 w/ Lehman
New Hampshire
LOCATION12 w/ Wilmington·6 w/ Lehman
the Securities and Exchange Commission
ORGANIZATION12 w/ Wilmington·6 w/ Lehman
Federal Reserve
ORGANIZATION8 w/ Wilmington·5 w/ Lehman
JPMorgan Chase
ORGANIZATION10 w/ Wilmington·3 w/ Lehman
Internal Revenue Service
ORGANIZATION7 w/ Wilmington·6 w/ Lehman
Tokyo
LOCATION9 w/ Wilmington·3 w/ Lehman
Mohammed bin Salman
PERSON8 w/ Wilmington·3 w/ Lehman
the Confidential Information
ORGANIZATION7 w/ Wilmington·3 w/ Lehman
Cease & Desist
ORGANIZATION3 w/ Wilmington·6 w/ Lehman
UBS AG
ORGANIZATION4 w/ Wilmington·5 w/ Lehman
Lehman
ORGANIZATION3 w/ Wilmington·6 w/ Lehman
UBS Securities LLC
ORGANIZATION3 w/ Wilmington·6 w/ Lehman
Cayman
LOCATION6 w/ Wilmington·3 w/ Lehman