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UBS Sales of Lehman Brothers Principal Protected Notes

New Hampshire Securities Regulators Accuse UBS Financial Services, Inc. of Misleading Investors about Lehman Brothers Principal Protected Notes
Posted by: Jeffrey B. Kaplan
June 11, 2009

New Hampshire securities regulators have accused UBS Financial Services, Inc. of unfair sales practices and failing to supervise its brokers who sold Lehman Brothers structured products, including so-called "principal protected" notes.

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UBS Sales of Lehman Brothers Principal Protected Notes

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