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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
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
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
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
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
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
Entities connected to both Lehman and the applicable Portfolio Managers

Ghislaine Maxwell
PERSON
United States
LOCATION
Marc Rich
PERSON
Department of Justice
ORGANIZATION
New York
LOCATION
Federal Reserve
ORGANIZATION
UBS AG
ORGANIZATION
New Hampshire
LOCATION
Samantha Power
PERSON
JPMorgan Chase
ORGANIZATION
New York State
LOCATION
Internal Revenue Service
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATIONCayman
LOCATION
Tokyo
LOCATIONUBS Securities LLC
ORGANIZATIONLehman Structured Products
ORGANIZATIONthe North American Securities Administrators Association
ORGANIZATIONCease & Desist
ORGANIZATIONMillennium USA LP
ORGANIZATION