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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
iary of Millennium International Management. • Cannon Asset Management LLC, a wholly-owned subsidiary of Millennium International Management. • Catapult Capital Management LLC, a wholly-owned subsidiary of Millennium International Management. • Decade Capital Management LLC, a wholly-owned subsidiary of Millennium Inter
ss EE-II, FF-II, MM-II, NN-II, EE-III, FF-III, MM-III and NN-III interests, except that they will be affected by any gains or losses attributable to Lehman Exposure (as defined, and further discussed, below in this Appendix in "Treatment of Millennium USA's Exposure to Lehman Brothers Holdings Inc. and
gement"); • Millennium Global Estate GP LLC ("Millennium Global Estate GP"), a wholly-owned subsidiary of Millennium International Management; • Catapult Capital Management LLC, a wholly-owned subsidiary of Millennium International Management; ML281817-MAXWELL 11-37 CONFIDENTIAL UBSTERRAMAR00002453 EFTA00238009 • De
ss EE-II, FF-II, MM-II, NN-II, EE-III, FF-III, MM-III and NN-III interests, except that they will be affected by any gains or losses attributable to Lehman Exposure (as defined, and further discussed, below in this Appendix in "Treatment of Millennium USA's Exposure to Lehman Brothers Holdings Inc. and
gement"); • Millennium Global Estate GP LLC ("Millennium Global Estate GP"), a wholly-owned subsidiary of Millennium International Management; • Catapult Capital Management LLC, a wholly-owned subsidiary of Millennium International Management; MAXWELL 11-37 CONFIDENTIAL UBSTERRAMAR00001400 EFTA00237046 • Decade Capi
Entities connected to both Lehman and Catapult Capital Management LLC

Ghislaine Maxwell
PERSON
United States
LOCATION
New York
LOCATION
JPMorgan Chase
ORGANIZATION
U.S. Treasury
ORGANIZATION
New York State
LOCATION
Tokyo
LOCATIONCayman
LOCATION
George W. Bush
PERSON
Malaysia
LOCATION
Mohammed bin Salman
PERSON
Wilbur Ross
PERSONMillennium USA LP
ORGANIZATION
England
LOCATION
Millennium
ORGANIZATIONthe Mutual Funds Law
ORGANIZATIONthe Cayman Islands Monetary Authority
ORGANIZATIONErnst & Young LLP
ORGANIZATIONthe Commodity Futures Trading Commission
ORGANIZATIONthe Non-USD Shares
ORGANIZATION