3
Shared Docs
3
Same-Page
3 / 3
Mentions
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
he Members on a basis which is not in accordance with the respective Fund Percentages of all Members as of the commencement of such Fiscal Period. Offering Memorandum means each of the Confidential Offering Memorandums of the Fund, including the Confidential Offering Memorandum of Class A Interests of the Fund, da
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
he Members on a basis which is not in accordance with the respective Fund Percentages of all Members as of the commencement of such Fiscal Period. Offering Memorandum means the Confidential Offering Memorandum of the Fund, dated April 2014, as may be amended or supplemented from time to time. Original Agreement s
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
he Members on a basis which is not in accordance with the respective Fund Percentages of all Members as of the commencement of such Fiscal Period. Offering Memorandum means the Confidential Offering Memorandum of the Fund, dated April 2014, as may be amended or supplemented from time to time. Original Agreement s
Entities connected to both UBS Securities LLC and Offering Memorandum

United States
LOCATION
UBS AG
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATION
Federal Reserve
ORGANIZATIONCease & Desist
ORGANIZATION
Department of Justice
ORGANIZATION
New York State
LOCATION
Ghislaine Maxwell
PERSONUBS Fund
ORGANIZATIONLehman
ORGANIZATIONBrought
ORGANIZATION
Fannie Mae
ORGANIZATIONThe Ohio Division of Securities
ORGANIZATIONMassachusetts Securities Division
ORGANIZATION
New Hampshire
LOCATIONthe North American Securities Administrators Association
ORGANIZATIONLehman Structured Products
ORGANIZATION
New York
LOCATION
Internal Revenue Service
ORGANIZATIONDept. of
ORGANIZATION