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zation. Plan Assets Rules means Section 3(42) of ERISA and any rules and regulations thereunder, together with any plan assets regulation issued by the U.S. Department of Labor under ERISA, including 29 C.F.R. § 2510.3-101, as amended. Positive Basis means, with respect to any Member and as of any time of calculation, the
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
2 mentions1 same-page
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zation. Plan Assets Rules means Section 3(42) of ERISA and any rules and regulations thereunder, together with any plan assets regulation issued by the U.S. Department of Labor under ERISA, including 29 C.F.R. § 2510.3-101, as amended. Positive Basis means, with respect to any Member and as of any time of calculation, the
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
zation. Plan Assets Rules means Section 3(42) of ERISA and any rules and regulations thereunder, together with any plan assets regulation issued by the U.S. Department of Labor under ERISA, including 29 C.F.R. § 2510.3-101, as amended. Positive Basis means, with respect to any Member and as of any time of calculation, the
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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Entities connected to both the U.S. Department of Labor and The Ohio Division of Securities
United States
LOCATION26 w/ the·4 w/ The
Department of Justice
ORGANIZATION18 w/ the·5 w/ The
the Securities and Exchange Commission
ORGANIZATION8 w/ the·5 w/ The
New York
LOCATION10 w/ the·3 w/ The
Ghislaine Maxwell
PERSON8 w/ the·4 w/ The
Federal Reserve
ORGANIZATION6 w/ the·5 w/ The
UBS Securities LLC
ORGANIZATION4 w/ the·7 w/ The
Cayman
LOCATION8 w/ the·3 w/ The
Internal Revenue Service
ORGANIZATION5 w/ the·5 w/ The
Fannie Mae
ORGANIZATION5 w/ the·5 w/ The
Samantha Power
PERSON6 w/ the·4 w/ The
Marc Rich
PERSON7 w/ the·3 w/ The
UBS AG
ORGANIZATION5 w/ the·5 w/ The
Brought
ORGANIZATION3 w/ the·7 w/ The
New Hampshire
LOCATION4 w/ the·5 w/ The
Related-Party Transactions
ORGANIZATION5 w/ the·3 w/ The
Lehman Structured Products
ORGANIZATION3 w/ the·5 w/ The
Massachusetts Securities Division
ORGANIZATION3 w/ the·5 w/ The
the North American Securities Administrators Association
ORGANIZATION3 w/ the·5 w/ The
Civil Penalty
ORGANIZATION3 w/ the·5 w/ The