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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
y Withdrawal Charge shall have the meaning set forth in Section 4.3(c)(ii) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINR4 means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
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
Early Withdrawal Charge shall have the meaning set forth in Section 4.3(e) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINRA means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
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
Early Withdrawal Charge shall have the meaning set forth in Section 4.3(e) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINRA means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
Entities connected to both Lehman and Administrative Services

Ghislaine Maxwell
PERSON
United States
LOCATION
Marc Rich
PERSON
New York
LOCATION
UBS AG
ORGANIZATION
Department of Justice
ORGANIZATION
Federal Reserve
ORGANIZATIONCayman
LOCATION
U.S. Treasury
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATION
JPMorgan Chase
ORGANIZATION
New Hampshire
LOCATION
Millennium
ORGANIZATION
Samantha Power
PERSON
Internal Revenue Service
ORGANIZATIONErnst & Young LLP
ORGANIZATION
New York State
LOCATION
Tokyo
LOCATIONUBS Securities LLC
ORGANIZATIONMillennium USA LP
ORGANIZATION