Epstein Secrets

mber 20, 2013 and is subject to change. ML281837-MAXWELL Page I of 4 CONFIDENTIAL UBSTERRAMAR00001132

terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement ($200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; $400,000,000 14. Date of Action: January 2011 Disposition: SIX Swiss Exchange Regulation OBS AG was fined for

hts, including with respect to voting; ER305378-MAXWELL B-52 CONFIDENTIAL UBSTERRAMAR00002074 EFTA002

terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement ($200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: $380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The

o maximize the return from the specific ML281817-MAXWELL 11-44 CONFIDENTIAL UBSTERRAMAR00002460 EFTA00

terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The

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

terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The