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Document Mentions (5 shared documents)
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from the SEC settlement 4. Date of Action: Dec. 22, 2008 Brought By. Securities and Exchange Commission (SEC). Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is perman
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
from the SEC settlement 4. Date of Action: Dec. 22, 2008 Brought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is perman
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
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d from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is perman
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
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d from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is perman
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
d from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is perman
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 New York State and the Financial Advisor's
New York
LOCATION233 w/ New·3 w/ the
United States
LOCATION178 w/ New·4 w/ the
Ghislaine Maxwell
PERSON138 w/ New·4 w/ the
Samantha Power
PERSON116 w/ New·4 w/ the
Department of Justice
ORGANIZATION114 w/ New·5 w/ the
Marc Rich
PERSON58 w/ New·3 w/ the
the State of New York
LOCATION51 w/ New·2 w/ the
Wilmington
LOCATION39 w/ New·3 w/ the
the Securities and Exchange Commission
ORGANIZATION24 w/ New·5 w/ the
JPMorgan Chase
ORGANIZATION26 w/ New·3 w/ the
Tokyo
LOCATION22 w/ New·3 w/ the
Internal Revenue Service
ORGANIZATION18 w/ New·5 w/ the
New Hampshire
LOCATION17 w/ New·5 w/ the
Mohammed bin Salman
PERSON18 w/ New·3 w/ the
Federal Reserve
ORGANIZATION14 w/ New·5 w/ the
Cayman
LOCATION12 w/ New·3 w/ the
UBS Securities LLC
ORGANIZATION8 w/ New·5 w/ the
Lehman
ORGANIZATION8 w/ New·5 w/ the
the North American Securities Administrators Association
ORGANIZATION6 w/ New·5 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ New·5 w/ the