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Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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 Civil Penalty and Interest of the Fund
Lehman
ORGANIZATION
New Hampshire
LOCATIONBrought
ORGANIZATIONThe Ohio Division of Securities
ORGANIZATIONBack Taxes Payment
ORGANIZATIONSwiss Federal Banking Commission
ORGANIZATION
Fannie Mae
ORGANIZATIONthe Financial Advisor's
ORGANIZATIONParent Company
ORGANIZATIONDept. of
ORGANIZATIONUBS Securities LLC
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATION
Department of Justice
ORGANIZATION
New York State
LOCATION
Internal Revenue Service
ORGANIZATION
UBS AG
ORGANIZATION
Federal Reserve
ORGANIZATIONUBS Fund
ORGANIZATIONLehman Structured Products
ORGANIZATIONMassachusetts Securities Division
ORGANIZATION