Stoltmann Law Offices, P

Stoltmann Law Offices, P.C.

UBS Puerto Rico Bond Fund Questionnaire

DATE______

HE SHE

CLIENT’S NAME ______

CLIENT’S HOME ADDRESS ______

CLIENT’S HOME PHONE # ______

CLIENT’S WORK PHONE # ______

CLIENT’S CELL PHONE # ______

CLIENT’S WORK ______

FAX # ______

CLIENT’S EMAIL ADDRESS ______

CLIENT’S BIRTH DATE

______CLIENT’S BIRTH PLACE

______CLIENT’S CURRENT OCCUPATION ______CLIENT’S EMPLOYER

OR NAME OF CLIENT’S BUSINESS ______

YEARS IN CLIENT’S POSITION ______

1 CLIENT’S APPROX. INCOME LAST YEAR ______

CLIENT’S PRIOR OCCUPATION ______

YEARS IN CLIENT’S PRIOR POSITION ______

CLIENT’S HIGH SCHOOL

______

CLIENT’S COLLEGE, IF ANY, ______

AND MAJOR FIELD OF STUDY ______

# OF CHILDREN OF CLIENT AND THEIR AGES ______

CONDITION OF CLIENT’S HEALTH AND HIS/HER HEALTH PROBLEMS ______

CITY AND STATE/US TERRITORY OF UBS BRANCH AT ISSUE ______NAME OF UBS BROKER or FINANCIAL ADVISOR WHO SOLD YOU FUNDS ______

1. What risks did you believe the UBS Puerto Rico funds had (if any)? From where did you learn this information?

2. What do you estimate your net worth to have been when you first bought the UBS Puerto Rico Bond funds?

2 3. Approximately how much money did you invest in the UBS funds?

4. What do you estimate your losses to have been in the UBS funds?

5. Approximately when did you purchase your first UBS Puerto Rico Bond fund?

6. Which specific UBS Puerto Rico Bond Fund(s) did you own? Have you sold your investment? If so, when?

7. Where did the money come from that initially funded the UBS Puerto Rico Bond fund purchases?

8. Do you have any friends or relatives who also had accounts with UBS and had similar losses in UBS Puerto Rico Bond funds? If so, who?

9. What representations or promises, if any, did UBS representatives make about the fund to you?

10. Did you log onto the UBS’s website to check the values of the funds?

11. What were you looking for with respect to the funds invested in the UBS funds? 12. Were you solicited by UBS to take out a line of credit or margin loan to purchase shares of the Funds?

Documents That You Should Produce to Us at this Time

3 1. Monthly, quarterly or yearly UBS account statements reflecting the purchases and sales of the funds. In the alternative, if you have a spreadsheet reflecting losses in the funds, please forward that to us.

2. Any and all promotional (i.e. marketing or sales) literature or prospectuses that you received from UBS regarding the Puerto Rico Bond funds (or from other sources).

Mailing Address to Which This Questionnaire and the Documents Should Be Sent:

Stoltmann Law Offices, P.C. 10 S. LaSalle Street, Suite 3500 Chicago, Illinois 60603 Phone: 312-332-4200 Fax: 312-332-4201 Email: [email protected] [email protected] [email protected] [email protected]

Websites: www.InvestmentFraud.PRO www.ubsbondfundfraud.com