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ministrative fine of $100,000; Investigation costs of S200,000; Administrative payment of $700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (DOJ), State Attorney General of 24 States UBS AG and UBS Financial Services Inc reached settlements with the SEC. the IRS,
Entity: Individual Financial Advisor Brought By. Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales cerson license. ML281837-MAXWELL Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00001134 EFTA00236790 Disclosure Stat
2 mentions1 same-page
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ministrative fine of 5100,000; Investigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D08, State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS,
Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. ER30 378-MAXWELL Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00002087 EFTA00237718 Disclosure Stat
2 mentions1 same-page
Page ?Same page
ministrative fine of 5100,000; Investigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (DOA State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, t
Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. Page 3 of 4 CONFI DENTIAL UBSTERFtAMAR00004122 EFTA00239454 FOR EXISTING INVESTOR USE ONLY
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2 mentions1 same-page
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ministrative fine of 5100,000; Investigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D01), State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS,
Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. "\.1.172-8-1-8 1 7-M A X ‘,/Wht. Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00002515 EFTA00238071
2 mentions1 same-page
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ministrative fine of 5100,000; Investigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D01), State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS,
Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. - rvi-A ><WVE L L Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00001462 EFTA00237108 Disclosure Sta
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Mutual Connections (130)
Entities connected to both Internal Revenue Service and the Financial Advisor's
United States
LOCATION40 w/ Internal·4 w/ the
Department of Justice
ORGANIZATION35 w/ Internal·5 w/ the
Ghislaine Maxwell
PERSON34 w/ Internal·4 w/ the
Samantha Power
PERSON25 w/ Internal·4 w/ the
Marc Rich
PERSON23 w/ Internal·3 w/ the
New York State
LOCATION18 w/ Internal·5 w/ the
New York
LOCATION20 w/ Internal·3 w/ the
the State of New York
LOCATION19 w/ Internal·2 w/ the
the Securities and Exchange Commission
ORGANIZATION15 w/ Internal·5 w/ the
UBS AG
ORGANIZATION13 w/ Internal·6 w/ the
Federal Reserve
ORGANIZATION10 w/ Internal·5 w/ the
New Hampshire
LOCATION9 w/ Internal·5 w/ the
Lehman
ORGANIZATION8 w/ Internal·5 w/ the
Fannie Mae
ORGANIZATION7 w/ Internal·5 w/ the
Parent Company
ORGANIZATION6 w/ Internal·5 w/ the
the North American Securities Administrators Association
ORGANIZATION6 w/ Internal·5 w/ the
UBS Securities LLC
ORGANIZATION6 w/ Internal·5 w/ the
Cease & Desist
ORGANIZATION6 w/ Internal·5 w/ the
Lehman Structured Products
ORGANIZATION6 w/ Internal·5 w/ the
Dept. of
ORGANIZATION6 w/ Internal·5 w/ the