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Document Mentions (5 shared documents)
2 mentions1 same-page
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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
Allegations: violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
Sponsored
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
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
Sponsored
Mutual Connections (130)
Entities connected to both New Hampshire and Civil Penalty
Ghislaine Maxwell
PERSON274 w/ New·4 w/ Civil
Marc Rich
PERSON156 w/ New·3 w/ Civil
Department of Justice
ORGANIZATION110 w/ New·5 w/ Civil
United States
LOCATION94 w/ New·4 w/ Civil
New York
LOCATION58 w/ New·3 w/ Civil
Samantha Power
PERSON45 w/ New·4 w/ Civil
New York State
LOCATION17 w/ New·5 w/ Civil
Federal Reserve
ORGANIZATION14 w/ New·5 w/ Civil
the Securities and Exchange Commission
ORGANIZATION13 w/ New·5 w/ Civil
Mohammed bin Salman
PERSON15 w/ New·3 w/ Civil
Wilmington
LOCATION12 w/ New·3 w/ Civil
Internal Revenue Service
ORGANIZATION9 w/ New·5 w/ Civil
Lehman
ORGANIZATION9 w/ New·5 w/ Civil
Parent Company
ORGANIZATION7 w/ New·5 w/ Civil
the North American Securities Administrators Association
ORGANIZATION6 w/ New·5 w/ Civil
Massachusetts Securities Division
ORGANIZATION6 w/ New·5 w/ Civil
Dept. of
ORGANIZATION6 w/ New·5 w/ Civil
UBS Securities LLC
ORGANIZATION6 w/ New·5 w/ Civil
Lehman Structured Products
ORGANIZATION6 w/ New·5 w/ Civil
Tokyo
LOCATION8 w/ New·3 w/ Civil