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nvestigation 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, the DOJ and a gro
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the oth
nvestigation 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, the DOJ and a g
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the oth
nvestigation 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, the D01 and a g
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the oth
Entities connected to both Dept. of and the Negative Basis

United States
LOCATION
Samantha Power
PERSON
Federal Reserve
ORGANIZATIONUBS Securities LLC
ORGANIZATION
Fannie Mae
ORGANIZATIONLehman
ORGANIZATION
New York State
LOCATION
Internal Revenue Service
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATIONLehman Structured Products
ORGANIZATIONthe North American Securities Administrators Association
ORGANIZATIONMassachusetts Securities Division
ORGANIZATIONCease & Desist
ORGANIZATION
New Hampshire
LOCATION
Ghislaine Maxwell
PERSONParent Company
ORGANIZATION
Department of Justice
ORGANIZATIONUBS Fund
ORGANIZATIONCivil Penalty
ORGANIZATIONGeneral State of NY
ORGANIZATION