Epstein Secrets

e securities laws Disposition: Cease & Desist. Fine, Penalty, Disgorgement, Investor Education. Details: UBS Financial Services Inc. (together with UBS Securities LLC) paid a total of S80M (allocated among the states), which includes $25M penalty. S25M as disgorgement, $25M to be used for procurement of independen

AGP LP 519 Alpha Group Capital Paul Barrett Itt:(‘• - pal,Se7MMces Inc. to i lfhirdiParty Priva w 10iscludsbret taferhent under Rule 5. Date of Action. March 7, 1005 Entity: UBS Financia

alty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid m all 50 states. UBS Financial Seances Inc. (together with UBS Securities LLC) agreed to pay a fine of $150 mil:ion (575 million to the NYAG and 175 million allocated to the remaining states). 4. Date of Action: luly 16, 200

AGP LP 519 Alpha Group Capital Paul Barrett Date of Action: August 22, 2011 Entity. UBS Financial Semites, Inc. Brought By: New Hampshire Bureau of Securities Regulation Nlegations: UBS sol

e securities laws Disposition: Cease & Desist. Fine, Penalty, Disgorgement, Investor Education. Details: UBS Financial Services Inc. (together with UBS Securities LLC) paid a total of S80M (allocated among the states), which includes $25M penalty. S25M as disgorgement, $25M to be used for procurement of independen

AGP LP 519 Alpha Group Capital Paul Barrett Itt:(‘• - pal,Se7MMces Inc. to i lfhirdiParty Priva w 10iscludsbret taferhent under Rule 5. Date of Action. March 7, 1005 Entity: UBS Financia