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er covenants that, except as required by applicable law or any regulatory body, it will not divulge, furnish or make accessible to any other person the Confidential Information without the prior written consent of the Manager, which consent may be withheld in its sole discretion. (b) Each Member recognizes that in the eve
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
2 mentions1 same-page
Page ?Same page
er covenants that, except as required by applicable law or any regulatory body, it will not divulge, furnish or make accessible to any other person the Confidential Information without the prior written consent of the Manager, which consent may be withheld in its sole discretion. (b) Each Member recognizes that in the eve
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
2 mentions1 same-page
Page ?Same page
er covenants that, except as required by applicable law or any regulatory body, it will not divulge, furnish or make accessible to any other person the Confidential Information without the prior written consent of the Manager, which consent may be withheld in its sole discretion. (b) Each Member recognizes that in the eve
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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United States
LOCATION16 w/ the·4 w/ Back
Samantha Power
PERSON10 w/ the·4 w/ Back
the State of New York
LOCATION9 w/ the·2 w/ Back
Cayman
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New York
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Wilmington
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the Securities and Exchange Commission
ORGANIZATION5 w/ the·5 w/ Back
Department of Justice
ORGANIZATION4 w/ the·5 w/ Back
Ghislaine Maxwell
PERSON5 w/ the·4 w/ Back
Brought
ORGANIZATION3 w/ the·5 w/ Back
The Ohio Division of Securities
ORGANIZATION3 w/ the·5 w/ Back
Swiss Federal Banking Commission
ORGANIZATION3 w/ the·5 w/ Back
New York State
LOCATION3 w/ the·5 w/ Back
Internal Revenue Service
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New Hampshire
LOCATION3 w/ the·5 w/ Back
Restated Limited Liability Company Agreement
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Lehman
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UBS Securities LLC
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UBS Fund
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Lehman Structured Products
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