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Document Mentions (5 shared documents)
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ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a fine of 5150 million ($75 million to the NYAG and S75 million allocated to the remaining states). ML281837-MAXWELL Page 2 of 4 C
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 UBSTERRAMAR00001134 EFTA00236790 Disclosure Stat
2 mentions1 same-page
Page ?Same page
ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
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 UBSTERRAMAR00002087 EFTA00237718 Disclosure Stat
2 mentions1 same-page
Page ?Same page
ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
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 UBSTERFtAMAR00004122 EFTA00239454 FOR EXISTING INVESTOR USE ONLY
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2 mentions1 same-page
Page ?Same page
ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
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 4 CONFIDENTIAL UBSTERRAMAR00002515 EFTA00238071
2 mentions1 same-page
Page ?Same page
ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
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 CONFIDENTIAL UBSTERRAMAR00001462 EFTA00237108 Disclosure Sta
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Mutual Connections (130)
Entities connected to both UBS Securities LLC and the Financial Advisor's
UBS AG
ORGANIZATION14 w/ UBS·6 w/ the
Federal Reserve
ORGANIZATION10 w/ UBS·5 w/ the
the Securities and Exchange Commission
ORGANIZATION9 w/ UBS·5 w/ the
United States
LOCATION10 w/ UBS·4 w/ the
Cease & Desist
ORGANIZATION8 w/ UBS·5 w/ the
New York State
LOCATION8 w/ UBS·5 w/ the
Department of Justice
ORGANIZATION8 w/ UBS·5 w/ the
Lehman
ORGANIZATION7 w/ UBS·5 w/ the
UBS Fund
ORGANIZATION7 w/ UBS·5 w/ the
Brought
ORGANIZATION7 w/ UBS·5 w/ the
The Ohio Division of Securities
ORGANIZATION7 w/ UBS·5 w/ the
Ghislaine Maxwell
PERSON8 w/ UBS·4 w/ the
Fannie Mae
ORGANIZATION7 w/ UBS·5 w/ the
New Hampshire
LOCATION6 w/ UBS·5 w/ the
the North American Securities Administrators Association
ORGANIZATION6 w/ UBS·5 w/ the
Internal Revenue Service
ORGANIZATION6 w/ UBS·5 w/ the
Dept. of
ORGANIZATION6 w/ UBS·5 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ UBS·5 w/ the
Lehman Structured Products
ORGANIZATION6 w/ UBS·5 w/ the
Parent Company
ORGANIZATION5 w/ UBS·5 w/ the