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
ny other information about the business or financial condition of the Fund, about any other Member or former Member, induding information about the Capital Contribution or Capital Account balance of a Member, or about the affairs of the Fund. No act of the Fund, the Manager, or any other Person that results in a Member being furnishe
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
y other information about the business or financial condition of the Fund, about any other Member or former Member, including information about the Capital Contribution or Capital Account balance of a Member, or about the affairs of the Fund. No act of the Fund, the Manager, or any other Person that results in a Member being furnishe
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
y other information about the business or financial condition of the Fund, about any other Member or former Member, including information about the Capital Contribution or Capital Account balance of a Member, or about the affairs of the Fund. No act of the Fund, the Manager, or any other Person that results in a Member being furnishe
Entities connected to both UBS Securities LLC and Capital Contribution or Capital Account

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