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er covenants that, except as required by applicable law or any regulatory body, it will not divulge, furnish or make accessible to any other person the Confidential Information without the prior written consent of the Manager, which consent may be withheld in its sole discretion. (b) Each Member recognizes that in the eve
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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er covenants that, except as required by applicable law or any regulatory body, it will not divulge, furnish or make accessible to any other person the Confidential Information without the prior written consent of the Manager, which consent may be withheld in its sole discretion. (b) Each Member recognizes that in the eve
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
er covenants that, except as required by applicable law or any regulatory body, it will not divulge, furnish or make accessible to any other person the Confidential Information without the prior written consent of the Manager, which consent may be withheld in its sole discretion. (b) Each Member recognizes that in the eve
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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LOCATION16 w/ the·4 w/ The
Samantha Power
PERSON10 w/ the·4 w/ The
New York
LOCATION8 w/ the·3 w/ The
the State of New York
LOCATION9 w/ the·2 w/ The
Cayman
LOCATION8 w/ the·3 w/ The
Brought
ORGANIZATION3 w/ the·7 w/ The
UBS Securities LLC
ORGANIZATION3 w/ the·7 w/ The
the Securities and Exchange Commission
ORGANIZATION5 w/ the·5 w/ The
Wilmington
LOCATION7 w/ the·3 w/ The
Ghislaine Maxwell
PERSON5 w/ the·4 w/ The
Department of Justice
ORGANIZATION4 w/ the·5 w/ The
Internal Revenue Service
ORGANIZATION3 w/ the·5 w/ The
New Hampshire
LOCATION3 w/ the·5 w/ The
Restated Limited Liability Company Agreement
ORGANIZATION5 w/ the·3 w/ The
Lehman
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UBS Fund
ORGANIZATION3 w/ the·5 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
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Civil Penalty
ORGANIZATION3 w/ the·5 w/ The