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ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a fine of 5150 million ($75 million to the NYAG and S75 million allocated to the remaining states). ML281837-MAXWELL Page 2 of 4 C
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
2 mentions1 same-page
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EFTA00237123 Trading Activity The vast majority of our exchange-listed securities and over-the-counter orders are executed through our affiliate, UBS Securities LLC—which executes orders as either principal or as agent, depending on the circumstances and type of program involved and receives compensation for tho
TEM 17. VOTING CLIENT SECURITIES 14 ITEM 18. FINANCIAL INFORMATION 15 ML281837-MAXWELL CONF I DENTIAL UBSTERRAMAR00001467 EFTA00237113 About UBS Fund Advisor. L.L.C. UBS Fund Advisor, L.L.C. ("Fund Advisor') is a registered investment adviser that provides advisory and administration services to
2 mentions1 same-page
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EFTA00237732 Trading Activity The vast majority of our exchange-listed securities and over-the-counter orders are executed through our affiliate, UBS Securities LLC—which executes orders as either principal or as agent, depending on the circumstances and type of program involved and receives compensation for tho
ITEM 17. VOTING CLIENT SECURITIES 14 ITEM 18. FINANCIAL INFORMATION 15 ER305378-MAXWELL CONFIDENTIAL UBSTERFtAMAR00002091 EFTA00237722 About UBS Fund Advisor. L.L.C. UBS Fund Advisor, L.L.C. ("Fund Advisor') is a registered investment adviser that provides advisory and administration services to
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2 mentions1 same-page
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ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
2 mentions1 same-page
Page ?Same page
ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
2 mentions1 same-page
Page ?Same page
ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
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2 mentions1 same-page
Page ?Same page
ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
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Mutual Connections (182)
Entities connected to both UBS Securities LLC and UBS Fund
UBS AG
ORGANIZATION14 w/ UBS·9 w/ UBS
United States
LOCATION10 w/ UBS·8 w/ UBS
Federal Reserve
ORGANIZATION10 w/ UBS·8 w/ UBS
the Securities and Exchange Commission
ORGANIZATION9 w/ UBS·8 w/ UBS
Department of Justice
ORGANIZATION8 w/ UBS·7 w/ UBS
Cease & Desist
ORGANIZATION8 w/ UBS·7 w/ UBS
Ghislaine Maxwell
PERSON8 w/ UBS·7 w/ UBS
Fannie Mae
ORGANIZATION7 w/ UBS·7 w/ UBS
New York State
LOCATION8 w/ UBS·5 w/ UBS
Lehman
ORGANIZATION7 w/ UBS·5 w/ UBS
Brought
ORGANIZATION7 w/ UBS·5 w/ UBS
The Ohio Division of Securities
ORGANIZATION7 w/ UBS·5 w/ UBS
New Hampshire
LOCATION6 w/ UBS·5 w/ UBS
Dept. of
ORGANIZATION6 w/ UBS·5 w/ UBS
Internal Revenue Service
ORGANIZATION6 w/ UBS·5 w/ UBS
Massachusetts Securities Division
ORGANIZATION6 w/ UBS·5 w/ UBS
Lehman Structured Products
ORGANIZATION6 w/ UBS·5 w/ UBS
the North American Securities Administrators Association
ORGANIZATION6 w/ UBS·5 w/ UBS
Samantha Power
PERSON5 w/ UBS·5 w/ UBS
Parent Company
ORGANIZATION5 w/ UBS·5 w/ UBS