3
Shared Docs
3
Same-Page
3 / 3
Mentions
hts, including with respect to voting; ER305378-MAXWELL B-52 CONFIDENTIAL UBSTERRAMAR00002074 EFTA002
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (DO;), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DOJ, the Board of Governors of the Federal Reserve, and the Connecticut Depar
o maximize the return from the specific ML281817-MAXWELL 11-44 CONFIDENTIAL UBSTERRAMAR00002460 EFTA00
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
Entities connected to both Ghislaine Maxwell and Connecticut Department

JPMorgan Chase
ORGANIZATION
United States
LOCATION
Department of Justice
ORGANIZATION
Marc Rich
PERSON
New York
LOCATION
Samantha Power
PERSON
New Hampshire
LOCATIONthe State of New York
LOCATION
Federal Reserve
ORGANIZATION
UBS AG
ORGANIZATION
New York State
LOCATION
Wilmington
LOCATIONCayman
LOCATIONthe Securities and Exchange Commission
ORGANIZATION
Mohammed bin Salman
PERSON
Tokyo
LOCATION
Internal Revenue Service
ORGANIZATIONLehman
ORGANIZATION
Millennium
ORGANIZATION
Fannie Mae
ORGANIZATION