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Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (Dal), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation of LIBOR and other benchmark interest rates. The Swiss Financial Market Supervisory A
8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 Brought By. Securities and Exchange Commission (SEC). Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS
C Entity: UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (DOD, UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation of LIBOR and other benchmark interest rates. The Swiss Financial Market Supervisory A
8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 Brought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS
Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation of LIBOR and other benchmark interest rates. The Swiss Financial Market Supervisory A
.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS
Entities connected to both the Commodity Futures Trading Commission and Massachusetts Securities Division

United States
LOCATION
Ghislaine Maxwell
PERSON
Samantha Power
PERSON
New York State
LOCATIONLehman
ORGANIZATION
Federal Reserve
ORGANIZATION
Internal Revenue Service
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATIONthe North American Securities Administrators Association
ORGANIZATION
New Hampshire
LOCATIONUBS Securities LLC
ORGANIZATION
Department of Justice
ORGANIZATIONDept. of
ORGANIZATIONLehman Structured Products
ORGANIZATIONCease & Desist
ORGANIZATIONUBS Fund
ORGANIZATION
Fannie Mae
ORGANIZATION
UBS AG
ORGANIZATIONCivil Penalty
ORGANIZATION
New York
LOCATION