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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
OF ACQUIRING, HOLDING AND DISPOSING OF INTERESTS, AS WELL AS THE EFFECTS OF TAX LAWS OF THE JURISDICTIONS OF WHICH THEY ARE CITIZENS, RESIDENTS OR DOMICILIARIES OR IN WHICH THEY CONDUCT BUSINESS. There is, at present, no direct taxation in the Cayman Islands and interest, dividends and gains payable to the
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
OF ACQUIRING, HOLDING AND DISPOSING OF INTERESTS, AS WELL AS THE EFFECTS OF TAX LAWS OF THE JURISDICTIONS OF WHICH THEY ARE CITIZENS, RESIDENTS OR DOMICILIARIES OR IN WHICH THEY CONDUCT BUSINESS. There is, at present, no direct taxation in the Cayman Islands and interest, dividends and gains payable to the
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
OF ACQUIRING, HOLDING AND DISPOSING OF INTERESTS, AS WELL AS THE EFFECTS OF TAX LAWS OF THE JURISDICTIONS OF WHICH THEY ARE CITIZENS, RESIDENTS OR DOMICILIARIES OR IN WHICH THEY CONDUCT BUSINESS. There is, at present, no direct taxation in the Cayman Islands and interest, dividends and gains payable to the
Entities connected to both Lehman and DOMICILIARIES

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