“How The Securities Bureau’s Investor Education Fund Paid For Its LGC Investigation”

A look at the LGC case from a different angle, courtesy of Bob Sanders at the “New Hampshire Business Review.”


By Bob Sanders Friday, January 25, 2013 In August 2011, UBS Financial Services reached a $1 million settlement with the New Hampshire Bureau of Securities Regulation for violations relating to the sale of structured products. Of that settlement, $300,000 was to be paid to the bureau for fine and investigatory costs, to be deposited, by law, in an investor education fund.

Read more at: www.nhbr.com

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