3
Shared Docs
3
Same-Page
3 / 3
Mentions
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
s, minimum initial Capital Contribution, assets underlying the Class, Sub-Class, tranches or Series and other terms. There shall be established two Classes of Fund Interests: Class A Interests and Class B Interests. In respect of each of Class A Interests and Class B Interests there shall be established two Sub-Classes
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
drawal rights, minimum initial Capital Contribution, assets underlying the Class or Series and other terms. There shall initially be established two Classes of Fund Interests: Advisory Class Interests and Brokerage Class Interests. New Series or Classes of Interests may be established by the Manager without providing not
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
drawal rights, minimum initial Capital Contribution, assets underlying the Class or Series and other terms. There shall initially be established two Classes of Fund Interests: Advisory Class Interests and Brokerage Class Interests. New Series or Classes of Interests may be established by the Manager without providing not
Entities connected to both Lehman and Classes of Fund Interests

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