MAR00001133 EFTA00236789 Disclosure Statement under Rule 506(d) Date of Action: July 16, 2C3 Entity UBS Financial Services Brought By. Attorney General State of NY Allegations: Non-discretionary fee-based brokerage accounts offered by UBS were unsuitable for certain clients and fees/commissions were higher tha

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 ER305378-MAXWELL Page 2 of 4 CONFIDENTIAL UBSTERFtAMAR00002086 EFTA00237717 Disclosure Statement under Rule 506(d) Aliegations: Non-oiscretio

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

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

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