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te of Action: August 22, 2011 Entity: UBS Financial Services, Inc. Brought By: New Hampshire Bureau of Securities Regulation Allegations: UBS sold Lehman Structured Products to clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients
forth in the Recitals. Series shall have the meaning set forth in Section 2.8 hereof. Soliciting Members means Members representing at least 20% in Interest of the Fund who are requesting a meeting of the Members. Sub-Class shall have the meaning set forth in Section 2.8 hereof. Temporary Investments means money m
te of Action: August 22, 2011 Entity: UBS Financial Services, Inc. Brought By: New Hampshire Bureau of Securities Regulation Allegations: UBS sold Lehman Structured Products to clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients
o Section 5.7 hereof). Series shall have the meaning set forth in Section 2.8 hereof. Soliciting Members means Members representing at least 20% in Interest of the Fund who are requesting a meeting of the Members. Tax Matters Partner means the Member designated as "tax matters partner" of the Fund pursuant to Sect
te of Action: August 22, 2011 Entity: UBS Financial Services, Inc. Brought By: New Hampshire Bureau of Securities Regulation Allegations: UBS sold Lehman Structured Products to clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients
o Section 5.7 hereof). Series shall have the meaning set forth in Section 2.8 hereof. Soliciting Members means Members representing at least 20% in Interest of the Fund who are requesting a meeting of the Members. Tax Matters Partner means the Member designated as "tax matters partner" of the Fund pursuant to Sect
Entities connected to both Lehman Structured Products and Interest of the Fund

New York State
LOCATIONthe North American Securities Administrators Association
ORGANIZATION
Internal Revenue Service
ORGANIZATIONLehman
ORGANIZATIONDept. of
ORGANIZATIONCease & Desist
ORGANIZATIONMassachusetts Securities Division
ORGANIZATIONUBS Securities LLC
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATION
New Hampshire
LOCATION
Federal Reserve
ORGANIZATIONthe Financial Advisor's
ORGANIZATIONParent Company
ORGANIZATION
Department of Justice
ORGANIZATION
UBS AG
ORGANIZATION
Fannie Mae
ORGANIZATIONUBS Fund
ORGANIZATIONGeneral State of NY
ORGANIZATIONBrought
ORGANIZATIONThe Ohio Division of Securities
ORGANIZATION