3
Shared Docs
3
Same-Page
3 / 3
Mentions
.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS
s, minimum initial Capital Contribution, assets underlying the Class, Sub-Class, tranches or Series and other terms. There shall be established two Classes of Fund Interests: Class A Interests and Class B Interests. In respect of each of Class A Interests and Class B Interests there shall be established two Sub-Classes
.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS
drawal rights, minimum initial Capital Contribution, assets underlying the Class or Series and other terms. There shall initially be established two Classes of Fund Interests: Advisory Class Interests and Brokerage Class Interests. New Series or Classes of Interests may be established by the Manager without providing not
.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS
drawal rights, minimum initial Capital Contribution, assets underlying the Class or Series and other terms. There shall initially be established two Classes of Fund Interests: Advisory Class Interests and Brokerage Class Interests. New Series or Classes of Interests may be established by the Manager without providing not
Entities connected to both Massachusetts Securities Division and Classes of Fund Interests

New York State
LOCATIONthe North American Securities Administrators Association
ORGANIZATION
Internal Revenue Service
ORGANIZATIONLehman
ORGANIZATIONDept. of
ORGANIZATIONCease & Desist
ORGANIZATIONLehman Structured Products
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