3
Shared Docs
3
Same-Page
3 / 3
Mentions
ly in New York, New York and Greenwich, Connecticut. Millennium's primary international office locations are in London, U.K., Singapore, Hong Kong, Tokyo, Japan and Geneva, Switzerland. Millennium has a number of other office locations as well. Corporate Services Pursuant to the Administration Agree
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
ing a personal loss). The ownership structure of MCP UK may change from time to time without notice. Each of MCM Singapore, MCM FIK, and MCM Asia's Tokyo Branch (collectively, the "Asia Entities") is owned by Millennium International Management. The capital to establish, capitalize and maintain the A
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
ing a personal loss). The ownership structure of MCP UK may change from time to time without notice. Each of MCM Singapore, MCM FIK, and MCM Asia's Tokyo Branch (collectively, the "Asia Entities") is owned by Millennium International Management. The capital to establish, capitalize and maintain the A
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
Entities connected to both Tokyo and Lehman Structured Products

United States
LOCATION
Marc Rich
PERSON
New York
LOCATION
Ghislaine Maxwell
PERSON
Department of Justice
ORGANIZATION
Samantha Power
PERSON
New York State
LOCATIONthe State of New York
LOCATION
Federal Reserve
ORGANIZATION
New Hampshire
LOCATIONLehman
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATION
Wilmington
LOCATIONCayman
LOCATION
JPMorgan Chase
ORGANIZATION
UBS AG
ORGANIZATION
Millennium
ORGANIZATION
England
LOCATION
Mohammed bin Salman
PERSON
Internal Revenue Service
ORGANIZATION