EFTA Document EFTA01386101

AGP LP 519 Alpha Group Capital Paul Barrett Itt:(‘• - pal,Se7MMces Inc. to i lfhirdiParty Priva w 10iscludsbret taferhent under Rule 5. Date of Action. March 7, 1005 Entity: UBS Financial Services Brought 8y: State of Illinois Allegations: Failure to provide investors with accurate account statements re: callable CD's and fain* to supervise. Disposition: Fine Fine: $95,000 6. Date of Action: April 28, 2003 March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Vitiation of Securities Act regulations regarding research practices and conflicts of interest arising from those practices. VP:deflects of Section 17(b) of the Securities Act of 1933, NYSE Rules 476(a)(6), 401, 472, 476(A)(6) and 342, NASD Rules 2210 and 2110 and state securities laws Disposition: Cease & Desist. Fine, Penalty, Disgorgement, Investor Education. Details: UBS Financial Services Inc. (together with UBS Securities LLC) paid a total of S80M (allocated among the states), which includes $25M penalty. S25M as disgorgement, $25M to be used for procurement of independent research and SSM fa Investor education. Fines varied by Slate. 7. Date of Action: March 2007 Entity: Individual Financial Advisor thought By State of New York Department of Insurance Disposition: Final Order in connection with Woladons of sections 2123 of the NY Insurance Law and Department Regulation 60 01 NYCRR 51.5). 8. Date of Action: June 9, 2008 Entity: Individual Financial Advisa Brought Br State of New York Department ol Insurance Disposition: Finat Order issued in connection with violations of sections 2123 ol the NY Insurance law and Department Regulation 60 (11 NYCRR 51.5). 9. Date of Action: May 12.2000 Entity: Individual Financial Advisor Brought By: Ohio Division ol Securities Details: The Ohio Division of Securities issued a final order to deny the Finaecal Advisor's application fo' a securities sales person license. JO. Date of Action: February 2, 7010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State of Nevada issued Final Order revoking the financial Advisor's license to act as a sales representative on Feb. 1, 2010. Page 2 of 2 UR& ES Disciplinary History for Third Party Funds - Distribution Platform 9-20-I3sloc CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0087648 CONFIDENTIAL SDNY_GM_00233832 EFTA01386101