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he NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 2007 Entity: UBS Financial Services Brought By: Attorney General State of NY Page 2 of 4 CONFIDENTIAL UBSTERFtAMAR00004121 EFTA00239453 FOR EXISTING INVESTOR USE ONLY iliksagv:4R9t:IftrtaW;WWS5W,TANNwpgAw(150 5 Disclos
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
he NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 2007 Entity: UBS Financial Services Brought By: Attorney General State of NY ML281817-MAXWELL Page 2 of 4 CONFIDENTIAL UBSTERRAMAR00002514 EFTA00238070 Disclosure Statement under Rule 506(d) iefft4'')• „, • ...;t„. Al
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
he NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 2007 Entity: UBS Financial Services Brought By: Attorney General State of NY MAXWELL Page 2 of 4 CONFIDENTIAL UBSTERRAMAR00001461 EFTA00237107 Disclosure Statement under Rule 506(d) iefft4'')• „, • ...;t„. Aliegations
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 General State of NY and Capital Contribution or Capital Account
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