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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
meeting is to be called shall be provided to the Manager. In the case of a meeting called by the Soliciting Members for the purpose of terminating the Administrative Services Agreement or removing the Administrator pursuant to the Administrative Services Agreement, such written proposal shall also set forth the name, qualification
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
meeting is to be called shall be provided to the Manager. In the case of a meeting called by the Soliciting Members for the purpose of terminating the Administrative Services Agreement or removing the Administrator pursuant to the Administrative Services Agreement, such written proposal shall also set forth the name, qualification
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
meeting is to be called shall be provided to the Manager. In the case of a meeting called by the Soliciting Members for the purpose of terminating the Administrative Services Agreement or removing the Administrator pursuant to the Administrative Services Agreement, such written proposal shall also set forth the name, qualification
Entities connected to both Dept. of and the Administrative Services Agreement

United States
LOCATION
Federal Reserve
ORGANIZATION
UBS AG
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATION
Fannie Mae
ORGANIZATIONMassachusetts Securities Division
ORGANIZATIONthe North American Securities Administrators Association
ORGANIZATION
Ghislaine Maxwell
PERSONCease & Desist
ORGANIZATIONUBS Fund Advisor
ORGANIZATION
Samantha Power
PERSONUBS Securities LLC
ORGANIZATIONLehman
ORGANIZATION
New York State
LOCATION
Internal Revenue Service
ORGANIZATIONUBS Fund
ORGANIZATIONLehman Structured Products
ORGANIZATION
New Hampshire
LOCATIONCivil Penalty
ORGANIZATIONParent Company
ORGANIZATION