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mber 20, 2013 and is subject to change. ML281837-MAXWELL Page I of 4 CONFIDENTIAL UBSTERRAMAR00001132
Brought 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): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: violations of
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hts, including with respect to voting; ER305378-MAXWELL B-52 CONFIDENTIAL UBSTERRAMAR00002074 EFTA002
Brought 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): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
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o maximize the return from the specific ML281817-MAXWELL 11-44 CONFIDENTIAL UBSTERRAMAR00002460 EFTA00
&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): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
Sponsored
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hat seeks to profit from inefficient pricing of related fixed-income securities. Leverage may be employed to maximize the return from the specific MAXWELL 11-44 CONFIDENTIAL UBSTERRAMAR00001407 EFTA00237053 strategy. The securities to which a Portfolio Manager will apply this strategy typically t
&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): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
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Mutual Connections (130)
Entities connected to both Ghislaine Maxwell and the North American Securities Administrators Association
JPMorgan Chase
ORGANIZATION2,125 w/ Ghislaine·3 w/ the
United States
LOCATION1,187 w/ Ghislaine·4 w/ the
Department of Justice
ORGANIZATION917 w/ Ghislaine·5 w/ the
Marc Rich
PERSON898 w/ Ghislaine·3 w/ the
New York
LOCATION653 w/ Ghislaine·3 w/ the
Samantha Power
PERSON445 w/ Ghislaine·4 w/ the
New Hampshire
LOCATION274 w/ Ghislaine·6 w/ the
the State of New York
LOCATION209 w/ Ghislaine·2 w/ the
Federal Reserve
ORGANIZATION180 w/ Ghislaine·5 w/ the
UBS AG
ORGANIZATION165 w/ Ghislaine·5 w/ the
New York State
LOCATION138 w/ Ghislaine·6 w/ the
Wilmington
LOCATION83 w/ Ghislaine·3 w/ the
the Securities and Exchange Commission
ORGANIZATION57 w/ Ghislaine·6 w/ the
Cayman
LOCATION59 w/ Ghislaine·3 w/ the
Mohammed bin Salman
PERSON49 w/ Ghislaine·3 w/ the
Tokyo
LOCATION49 w/ Ghislaine·3 w/ the
Internal Revenue Service
ORGANIZATION34 w/ Ghislaine·6 w/ the
Lehman
ORGANIZATION33 w/ Ghislaine·6 w/ the
Millennium
ORGANIZATION30 w/ Ghislaine·3 w/ the
Fannie Mae
ORGANIZATION18 w/ Ghislaine·5 w/ the