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.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
ny other information about the business or financial condition of the Fund, about any other Member or former Member, induding information about the Capital Contribution or Capital Account balance of a Member, or about the affairs of the Fund. No act of the Fund, the Manager, or any other Person that results in a Member being furnishe
.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
y other information about the business or financial condition of the Fund, about any other Member or former Member, including information about the Capital Contribution or Capital Account balance of a Member, or about the affairs of the Fund. No act of the Fund, the Manager, or any other Person that results in a Member being furnishe
.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
y other information about the business or financial condition of the Fund, about any other Member or former Member, including information about the Capital Contribution or Capital Account balance of a Member, or about the affairs of the Fund. No act of the Fund, the Manager, or any other Person that results in a Member being furnishe
Entities connected to both Massachusetts Securities Division and Capital Contribution or Capital Account

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