EFTA Document EFTA01386100

AGP LP 519 Alpha Group Capital Paul Barrett 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 clients of Lehman's financial condition plot to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small nu