Document Mentions (3 shared documents)

EFTA00239188_sub_003 - EFTA00239188_269

2 mentions1 same-page

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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

er Person. ARTICLE IV-Removal of Manager; Termination of Administrative Services Agreement; Transfers and Withdrawals 4.1 Removal of the Manager; Termination of Administrative Services Agreement. (a) The Manager may be removed at any time by a vote of at least a Majority in Unaffiliated Interest at a meeting of the Members called for such

EFTA00237816_sub_003 - EFTA00237816_258

2 mentions1 same-page

Page ?Same page

r Person. ARTICLE IV-Removal of Manager; Termination of Administrative Services Agreement; Transfers and Withdrawals 4. l Removal of the Manager; Termination of Administrative Services Agreement. (a) The Manager may be removed at any time by a vote of at least a Majority in Unaffiliated Interest at a meeting of the Members called for such

EFTA00236853_sub_003 - EFTA00236853_258

2 mentions1 same-page

Page ?Same page