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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
gainst amounts to be paid under Section 6.2(a) above, and (ii) any profit or loss attributable to property distributed in-kind shall be included in the Net Profit or Net Loss for the Fiscal Period ending on the date of such distribution. ARTICLE VIkAccounting, Valuations and Books and Records 7.1 Accounting and Reports
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
gainst amounts to be paid under Section 6.2(a) above, and (ii) any profit or loss attributable to property distributed in-kind shall be included in the Net Profit or Net Loss for the Fiscal Period ending on the date of such distribution. ML281817-MAXWELL B-23 CONFIDENTIAL UBSTERRAMAR00002504 EFTA00238060 ARTICLE VI
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
gainst amounts to be paid under Section 6.2(a) above, and (ii) any profit or loss attributable to property distributed in-kind shall be included in the Net Profit or Net Loss for the Fiscal Period ending on the date of such distribution. MEI-MAXWELL B-23 CONFIDENTIAL UBSTERRAMAR00001451 EFTA00237097 ARTICLE VIkAcco
Entities connected to both Lehman and the Net Profit or Net Loss

Ghislaine Maxwell
PERSON
United States
LOCATION
Marc Rich
PERSON
Department of Justice
ORGANIZATION
New York
LOCATION
Samantha Power
PERSON
Federal Reserve
ORGANIZATION
UBS AG
ORGANIZATION
New Hampshire
LOCATION
JPMorgan Chase
ORGANIZATION
New York State
LOCATIONthe Securities and Exchange Commission
ORGANIZATIONCayman
LOCATION
Internal Revenue Service
ORGANIZATION
Tokyo
LOCATIONUBS Securities LLC
ORGANIZATIONMillennium USA LP
ORGANIZATION
Millennium
ORGANIZATIONCease & Desist
ORGANIZATIONDept. of
ORGANIZATION