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Document Mentions (5 shared documents)
2 mentions1 same-page
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vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
ation 60 (11 NYCRR 51.5). 10. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By. Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales cerson license. ML281837-MAXWELL Page 3 of 4 CONFIDENTIAL
2 mentions1 same-page
Page ?Same page
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. ER30 378-MAXWELL Page 3 of 4 CONFIDENTIAL
2 mentions1 same-page
Page ?Same page
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. Page 3 of 4 CONFI DENTIAL UBSTERFtAMAR000
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2 mentions1 same-page
Page ?Same page
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. "\.1.172-8-1-8 1 7-M A X ‘,/Wht. Page 3 of
2 mentions1 same-page
Page ?Same page
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. - rvi-A ><WVE L L Page 3 of 4 CONFIDENTIA
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Mutual Connections (131)
Entities connected to both UBS AG and The Ohio Division of Securities
Ghislaine Maxwell
PERSON165 w/ UBS·4 w/ The
United States
LOCATION78 w/ UBS·4 w/ The
UBS Financial Services Inc.
ORGANIZATION55 w/ UBS·2 w/ The
Cayman
LOCATION48 w/ UBS·3 w/ The
Marc Rich
PERSON44 w/ UBS·3 w/ The
Samantha Power
PERSON34 w/ UBS·4 w/ The
Department of Justice
ORGANIZATION21 w/ UBS·5 w/ The
JPMorgan Chase
ORGANIZATION22 w/ UBS·3 w/ The
the Securities and Exchange Commission
ORGANIZATION18 w/ UBS·5 w/ The
New York
LOCATION19 w/ UBS·3 w/ The
Federal Reserve
ORGANIZATION16 w/ UBS·5 w/ The
UBS Securities LLC
ORGANIZATION14 w/ UBS·7 w/ The
Internal Revenue Service
ORGANIZATION13 w/ UBS·5 w/ The
Fannie Mae
ORGANIZATION11 w/ UBS·5 w/ The
Lehman
ORGANIZATION10 w/ UBS·5 w/ The
UBS Fund
ORGANIZATION9 w/ UBS·5 w/ The
the State of New York
LOCATION11 w/ UBS·2 w/ The
UBS Fund Advisor
ORGANIZATION8 w/ UBS·4 w/ The
Cease & Desist
ORGANIZATION7 w/ UBS·5 w/ The
Brought
ORGANIZATION5 w/ UBS·7 w/ The