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Lehman Structured Products
Organization
6
Total Mentions
6
Documents
131
Connected Entities
Organization referenced in documents
Document Mentions (6)
EFTA00236788.pdf
1 mentionEFTA00236788
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 client
EFTA01386100.pdf
1 mentionEFTA01386100
Date of Action: August 22, 2011 Entity. UBS Financial Semites, Inc. Brought By: New Hampshire Bureau of Securities Regulation Nlegations: 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 client
EFTA00237405.pdf
1 mentionEFTA00237405_sub_004 - EFTA00237405_315
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 client
Sponsored
EFTA00239188.pdf
1 mentionEFTA00239188_sub_003 - EFTA00239188_269
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
EFTA00237816.pdf
1 mentionEFTA00237816_sub_003 - EFTA00237816_258
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
EFTA00236853.pdf
1 mentionEFTA00236853_sub_003 - EFTA00236853_258
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
Sponsored
Connected Entities(20 of 131)
New Hampshire
LocationState of the United States of America
6 docs6 co-mentions
New York State
LocationState in the northeastern United States
6 docs6 co-mentions
the North American Securities Administrators Association
OrganizationOrganization referenced in documents
6 docs6 co-mentions
Internal Revenue Service
OrganizationU.S. federal tax collection agency
6 docs6 co-mentions
Lehman
OrganizationCollege in The Bronx, New York; part of the City University of New York (CUNY) system
6 docs6 co-mentions
Massachusetts Securities Division
OrganizationOrganization referenced in documents
6 docs6 co-mentions
Dept. of
OrganizationOrganization referenced in documents
6 docs6 co-mentions
Cease & Desist
OrganizationOrganization referenced in documents
6 docs6 co-mentions
UBS Securities LLC
OrganizationOrganization referenced in documents
6 docs6 co-mentions
the Securities and Exchange Commission
OrganizationU.S. Securities and Exchange Commission
6 docs6 co-mentions
UBS AG
OrganizationSwiss multinational investment bank and financial services company
5 docs5 co-mentions
the Financial Advisor's
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Parent Company
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Swiss Federal Banking Commission
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Department of Justice
OrganizationUnited States Department of Justice, federal executive department responsible for law enforcement
5 docs5 co-mentions
Fannie Mae
OrganizationGovernment-backed financial services company
5 docs5 co-mentions
Back Taxes Payment
OrganizationOrganization referenced in documents
5 docs5 co-mentions
UBS Fund
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Civil Penalty
OrganizationOrganization referenced in documents
5 docs5 co-mentions
General State of NY
OrganizationOrganization referenced in documents
5 docs5 co-mentions