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ager to review any transactions that require approval under the Advisers Act, including Section 206(3) thereunder, or otherwise. Delaware Act means the Delaware Limited Liability Company Act (6 Del.C. § 18-101 et seq.) as in effect on the date hereof and as amended from time to time, or any successor law. ERISA means the Employee Retire
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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ager to review any transactions that require approval under the Advisers Act, including Section 206(3) thereunder, or otherwise. Delaware Act means the Delaware Limited Liability Company Act (6 Del.C. § 18-101 et seq.) as in effect on the date hereof and as amended from time to time, or any successor law. ERISA means the Employee Retire
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
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ager to review any transactions that require approval under the Advisers Act, including Section 206(3) thereunder, or otherwise. Delaware Act means the Delaware Limited Liability Company Act (6 Del.C. § 18-101 et seq.) as in effect on the date hereof and as amended from time to time, or any successor law. ERISA means the Employee Retire
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 (126)
Entities connected to both the Delaware Limited Liability Company Act and The Ohio Division of Securities
Internal Revenue Service
ORGANIZATION7 w/ the·5 w/ The
UBS Securities LLC
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Brought
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United States
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New York
LOCATION6 w/ the·3 w/ The
New York State
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Department of Justice
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the Certificate of Formation
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General State of NY
ORGANIZATION3 w/ the·5 w/ The
Back Taxes Payment
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Swiss Federal Banking Commission
ORGANIZATION3 w/ the·5 w/ The
Federal Reserve
ORGANIZATION3 w/ the·5 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
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the North American Securities Administrators Association
ORGANIZATION3 w/ the·5 w/ The
Civil Penalty
ORGANIZATION3 w/ the·5 w/ The
Cease & Desist
ORGANIZATION3 w/ the·5 w/ The
New Hampshire
LOCATION3 w/ the·5 w/ The