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d restitution of 4.3 million; States: 570.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 Brought By. Securities and Exchange Commission (SEC). Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators A
Entity: Individual Financial Advisor Brought By. Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales cerson license. ML281837-MAXWELL Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00001134 EFTA00236790 Disclosure Stat
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d restitution of 4.3 million; States: $70.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 Brought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators A
Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. ER30 378-MAXWELL Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00002087 EFTA00237718 Disclosure Stat
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nd restitution of 4.3 million; States: $70.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators A
Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. Page 3 of 4 CONFI DENTIAL UBSTERFtAMAR00004122 EFTA00239454 FOR EXISTING INVESTOR USE ONLY
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nd restitution of 4.3 million; States: $70.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators A
Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. "\.1.172-8-1-8 1 7-M A X ‘,/Wht. Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00002515 EFTA00238071
2 mentions1 same-page
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nd restitution of 4.3 million; States: $70.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators A
Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. - rvi-A ><WVE L L Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00001462 EFTA00237108 Disclosure Sta
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Mutual Connections (130)
Entities connected to both the Securities and Exchange Commission and the Financial Advisor's
United States
LOCATION154 w/ the·4 w/ the
Department of Justice
ORGANIZATION88 w/ the·5 w/ the
Samantha Power
PERSON87 w/ the·4 w/ the
Ghislaine Maxwell
PERSON57 w/ the·4 w/ the
New York
LOCATION48 w/ the·3 w/ the
Marc Rich
PERSON45 w/ the·3 w/ the
JPMorgan Chase
ORGANIZATION44 w/ the·3 w/ the
Federal Reserve
ORGANIZATION40 w/ the·5 w/ the
the State of New York
LOCATION31 w/ the·2 w/ the
New York State
LOCATION24 w/ the·5 w/ the
UBS AG
ORGANIZATION18 w/ the·6 w/ the
Internal Revenue Service
ORGANIZATION15 w/ the·5 w/ the
New Hampshire
LOCATION13 w/ the·5 w/ the
Wilmington
LOCATION12 w/ the·3 w/ the
Fannie Mae
ORGANIZATION10 w/ the·5 w/ the
UBS Securities LLC
ORGANIZATION9 w/ the·5 w/ the
Cease & Desist
ORGANIZATION8 w/ the·5 w/ the
Lehman
ORGANIZATION8 w/ the·5 w/ the
Mohammed bin Salman
PERSON10 w/ the·3 w/ the
UBS Fund
ORGANIZATION8 w/ the·5 w/ the