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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 (DOA State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, t
gainst amounts to be paid under Section 6.2(a) above, and (ii) any profit or loss attributable to property distributed in-kind shall be included in the Net Profit or Net Loss for the Fiscal Period ending on the date of such distribution. ARTICLE VIkAccounting, Valuations and Books and Records 7.1 Accounting and Reports
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,
gainst amounts to be paid under Section 6.2(a) above, and (ii) any profit or loss attributable to property distributed in-kind shall be included in the Net Profit or Net Loss for the Fiscal Period ending on the date of such distribution. ML281817-MAXWELL B-23 CONFIDENTIAL UBSTERRAMAR00002504 EFTA00238060 ARTICLE VI
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 (D01), State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS,
gainst amounts to be paid under Section 6.2(a) above, and (ii) any profit or loss attributable to property distributed in-kind shall be included in the Net Profit or Net Loss for the Fiscal Period ending on the date of such distribution. MEI-MAXWELL B-23 CONFIDENTIAL UBSTERRAMAR00001451 EFTA00237097 ARTICLE VIkAcco
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Mutual Connections (127)
Entities connected to both Internal Revenue Service and the Net Profit or Net Loss
United States
LOCATION40 w/ Internal·5 w/ the
Department of Justice
ORGANIZATION35 w/ Internal·3 w/ the
Ghislaine Maxwell
PERSON34 w/ Internal·2 w/ the
Samantha Power
PERSON25 w/ Internal·5 w/ the
Marc Rich
PERSON23 w/ Internal·3 w/ the
New York
LOCATION20 w/ Internal·3 w/ the
New York State
LOCATION18 w/ Internal·3 w/ the
the State of New York
LOCATION19 w/ Internal·2 w/ the
the Securities and Exchange Commission
ORGANIZATION15 w/ Internal·3 w/ the
UBS AG
ORGANIZATION13 w/ Internal·3 w/ the
Federal Reserve
ORGANIZATION10 w/ Internal·3 w/ the
New Hampshire
LOCATION9 w/ Internal·3 w/ the
the Delaware Limited Liability Company Act
ORGANIZATION7 w/ Internal·4 w/ the
Lehman
ORGANIZATION8 w/ Internal·3 w/ the
Fannie Mae
ORGANIZATION7 w/ Internal·3 w/ the
Wilmington
LOCATION7 w/ Internal·3 w/ the
Lehman Structured Products
ORGANIZATION6 w/ Internal·3 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ Internal·3 w/ the
the North American Securities Administrators Association
ORGANIZATION6 w/ Internal·3 w/ the
Cease & Desist
ORGANIZATION6 w/ Internal·3 w/ the