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nte Investment Management, a concentrated, value-oriented investment manager, and worked as an analyst in capital markets and research divisions at UBS AG. !footnotd on page 39) EFTA00300912 Page 2 Welcome to Graham & Doddsville Meredith Trivedi, the Heilbrunn Center Director. Meredith skillfull
duce its overall interest expense. That was a positive while the debt markets remained open but created a problem when debt markets seized after Lehman collapsed and they could not rollover their short maturity debt. GGP was in a strange limbo for a few months after it had defaulted on its debt
leverage in the fund Controls Breakdown: Leveraged exposure to illiquid assets. client assets not segregated were lost, e.g. Olivant lost 2.78% of UBS AG Controls Breakdown: Fraud. 'Ponzi" scheme losers include Banco Santander ($3.1bn). Bank Medici ($2.1bn), Fortis Bank ($1.4bn). HSBC ($1bn) UBP($1b
der Byhiras Amaranth Sept 2006 $6bn+ Stanford Capital 2009 $8bn+ Standard Life Sterling One £100mm ++ Refco 2006 Peloton Feb 2008 $2bn Lehman Sept 2008 $130 Billions Medoff Dec 2008 $50bn Style Drift: Concentrated illiquid positions with high leverage contravened"diversified" status.
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
lients (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 prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents
ger selection and ongoing monitoring process • Collaborative partnership within UBS Wealth Management Americas • Collaborative partnership within UBS AG. These services are available from and provided by UBS Global Asset Management U.S. and UBS Securities LLC, respectively ' As of June 30, 2014 1837
t the end of the presentation. The 2008 return includes a OAAP reserve of up to -2.61% relating to a write-off of the total exposure relating to the Lehman bankruptcy The 2009 return includes a gain of up to 0.67% relating to accrued recoveries in the Lehman bankruptcy that are attributable only to certa
leverage in the fund Controls Breakdown: Leveraged exposure to illiquid assets, client assets not segregated were lost, e.g. Olivant lost 2.78% of UBS AG Controls Breakdown: Fraud. "Ponzi" scheme losers include Banco Santander ($3.1bn), Bank Medici ($2.1bn), Fortis Bank ($1.4bn), HSBC ($1bn) UBP($1b
der Byhiras Amaranth Sept 2006 $6bn+ Stanford Capital 2009 $8bn+ Standard Life Sterling One £100mm ++ Refco 2006 Peloton Feb 2008 $2bn Lehman Sept 2008 $130 Billions Medoff Dec 2008 $50bn Style Drift: Concentrated illiquid positions with high leverage contravened"diversified" status.
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
lients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform clients of Lehman financial condition prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents t
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients of Lehman's financial condition prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients of Lehman's financial condition prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients of Lehman financial condition prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents t
m Bitfinex of hiding the loss of $850 million by tapping into the reserves of an affiliated cryptocurrency. Read full article » 2nd Circ. Ponders Lehman 'Mistake' Claim In Safe Harbor Suit A Lehman Brothers unit pitched the Second Circuit on Wednesday on the idea that contract language relied on by
Page: EFTA00032556 →Availability Services LP Swiss Re The Walt Disney Co. Total Wine & More TransPerfect Global Inc. Twentieth Century Fox Film Corp. U.S. Bancorp UBS AG Washington Nationals Wells Fargo & Co. Yale University iFinex Inc. GOVERNMENT AGENCIES California Supreme Court Delaware Court of Chancery Eq
Page: EFTA00032559 →Entities connected to both UBS AG and Lehman

Ghislaine Maxwell
PERSON
United States
LOCATION
U.S. Treasury
ORGANIZATION
Jeffrey Epstein
PERSON
Condoleezza Rice
PERSON
Vicky Ward
PERSONDoug Band
PERSON
Joi Ito
PERSON
Puerto Rico
LOCATION
Marc Rich
PERSON
George W. Bush
PERSONCayman
LOCATION
Alan Dershowitz
PERSON
Samantha Power
PERSONMaria Farmer
PERSON
Prince Charles
PERSON
Department of Justice
ORGANIZATION
Bill Clinton
PERSON
New York
LOCATION
JPMorgan Chase
ORGANIZATION