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mber 20, 2013 and is subject to change. ML281837-MAXWELL Page I of 4 CONFIDENTIAL UBSTERRAMAR00001132
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
2 mentions1 same-page
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hts, including with respect to voting; ER305378-MAXWELL B-52 CONFIDENTIAL UBSTERRAMAR00002074 EFTA002
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
2 mentions1 same-page
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o maximize the return from the specific ML281817-MAXWELL 11-44 CONFIDENTIAL UBSTERRAMAR00002460 EFTA00
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
Sponsored
2 mentions1 same-page
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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
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
Sponsored
Mutual Connections (130)
Entities connected to both Ghislaine Maxwell and Civil Penalty
JPMorgan Chase
ORGANIZATION2,125 w/ Ghislaine·3 w/ Civil
United States
LOCATION1,187 w/ Ghislaine·4 w/ Civil
Department of Justice
ORGANIZATION917 w/ Ghislaine·5 w/ Civil
Marc Rich
PERSON898 w/ Ghislaine·3 w/ Civil
New York
LOCATION653 w/ Ghislaine·3 w/ Civil
Samantha Power
PERSON445 w/ Ghislaine·4 w/ Civil
New Hampshire
LOCATION274 w/ Ghislaine·5 w/ Civil
the State of New York
LOCATION209 w/ Ghislaine·2 w/ Civil
Federal Reserve
ORGANIZATION180 w/ Ghislaine·5 w/ Civil
UBS AG
ORGANIZATION165 w/ Ghislaine·5 w/ Civil
New York State
LOCATION138 w/ Ghislaine·5 w/ Civil
Wilmington
LOCATION83 w/ Ghislaine·3 w/ Civil
Cayman
LOCATION59 w/ Ghislaine·3 w/ Civil
the Securities and Exchange Commission
ORGANIZATION57 w/ Ghislaine·5 w/ Civil
Mohammed bin Salman
PERSON49 w/ Ghislaine·3 w/ Civil
Tokyo
LOCATION49 w/ Ghislaine·3 w/ Civil
Internal Revenue Service
ORGANIZATION34 w/ Ghislaine·5 w/ Civil
Lehman
ORGANIZATION33 w/ Ghislaine·5 w/ Civil
Millennium
ORGANIZATION30 w/ Ghislaine·3 w/ Civil
Fannie Mae
ORGANIZATION18 w/ Ghislaine·5 w/ Civil