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Document Mentions (6 shared documents)
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nform clients of Lehman's financial condition prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents to purchase Lehman Structured Products were unsuitable. Disposition: Consent Order Administrative fine of $100,000; Investigation costs
Brought By. Securities and Exchange Commission (SEC). Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: violations of
2 mentions1 same-page
Page ?Same page
inform clients of Lehman's financial condition plot to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents to purchase Lehman Structured Products were unsuitable. Disposition: Consent Order Administrative line of $100,000; Investigation costs
Brought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Nlegations: Violations of 3
2 mentions1 same-page
Page ?Same page
inform clients of Lehman financial condition prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents to purchase Lehman Structured Products were unsuitable. Disposition: Consent Order Administrative fine of 5100,000; Investigation costs
Brought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
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2 mentions1 same-page
Page ?Same page
inform dients of Lehman's financial condition prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents to purchase Lehman Structured Products were unsuitable. Disposition: Consent Order Administrative fine of 5100,000; Investigation costs
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
2 mentions1 same-page
Page ?Same page
inform dients of Lehman's financial condition prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents to purchase Lehman Structured Products were unsuitable. Disposition: Consent Order Administrative fine of 5100,000; Investigation costs
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
2 mentions1 same-page
Page ?Same page
o inform dients of Lehman financial condition prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents to purchase Lehman Structured Products were unsuitable. Disposition: Consent Order Administrative fine of 5100,000; Investigation costs
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
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Mutual Connections (130)
Entities connected to both New Hampshire and the North American Securities Administrators Association
Ghislaine Maxwell
PERSON274 w/ New·4 w/ the
Marc Rich
PERSON156 w/ New·3 w/ the
Department of Justice
ORGANIZATION110 w/ New·5 w/ the
United States
LOCATION94 w/ New·4 w/ the
New York
LOCATION58 w/ New·3 w/ the
Samantha Power
PERSON45 w/ New·4 w/ the
New York State
LOCATION17 w/ New·6 w/ the
Federal Reserve
ORGANIZATION14 w/ New·5 w/ the
the Securities and Exchange Commission
ORGANIZATION13 w/ New·6 w/ the
Mohammed bin Salman
PERSON15 w/ New·3 w/ the
Internal Revenue Service
ORGANIZATION9 w/ New·6 w/ the
Wilmington
LOCATION12 w/ New·3 w/ the
Lehman
ORGANIZATION9 w/ New·6 w/ the
Parent Company
ORGANIZATION7 w/ New·5 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ New·6 w/ the
Dept. of
ORGANIZATION6 w/ New·6 w/ the
UBS Securities LLC
ORGANIZATION6 w/ New·6 w/ the
Lehman Structured Products
ORGANIZATION6 w/ New·6 w/ the
Cease & Desist
ORGANIZATION6 w/ New·6 w/ the
UBS AG
ORGANIZATION6 w/ New·5 w/ the