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follows: (i) to allocate such income among such Positive Basis Members until either the full amount of such income shall have been so allocated or the Positive Basis of each such Positive Basis Member shall have been eliminated, and (ii) to allocate any income not so allocated to Positive Basis Members to the ot
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
Page ?Same page
follows: (i) to allocate such income among such Positive Basis Members until either the full amount of such income shall have been so allocated or the Positive Basis of each such Positive Basis Member shall have been eliminated, and (ii) to allocate any income not so allocated to Positive Basis Members to the ot
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
follows: (i) to allocate such income among such Positive Basis Members until either the full amount of such income shall have been so allocated or the Positive Basis of each such Positive Basis Member shall have been eliminated, and (ii) to allocate any income not so allocated to Positive Basis Members to the ot
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 Positive Basis and The Ohio Division of Securities
UBS Securities LLC
ORGANIZATION3 w/ the·7 w/ The
Brought
ORGANIZATION3 w/ the·7 w/ The
the Securities and Exchange Commission
ORGANIZATION4 w/ the·5 w/ The
Samantha Power
PERSON5 w/ the·4 w/ The
Department of Justice
ORGANIZATION3 w/ the·5 w/ The
New York State
LOCATION3 w/ the·5 w/ The
Fannie Mae
ORGANIZATION3 w/ the·5 w/ The
the Financial Advisor's
ORGANIZATION3 w/ the·5 w/ The
Parent Company
ORGANIZATION3 w/ the·5 w/ The
Dept. of
ORGANIZATION3 w/ the·5 w/ The
Back Taxes Payment
ORGANIZATION3 w/ the·5 w/ The
Swiss Federal Banking Commission
ORGANIZATION3 w/ the·5 w/ The
Federal Reserve
ORGANIZATION3 w/ the·5 w/ The
Lehman
ORGANIZATION3 w/ the·5 w/ The
New Hampshire
LOCATION3 w/ the·5 w/ The
Internal Revenue Service
ORGANIZATION3 w/ the·5 w/ The
UBS AG
ORGANIZATION3 w/ the·5 w/ The
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