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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
t forth in the Certificate of Formation as filed in the office of the Secretary of State pursuant to the Act, and upon the giving of such notice in the Certificate of Formation, the statutory provisions of Section 18-215 of the Act (and the statutory effect under Section 18-215 of setting forth such notice in the certifica
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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
t forth in the Certificate of Formation as filed in the office of the Secretary of State pursuant to the Act, and upon the giving of such notice in the Certificate of Formation, the statutory provisions of Section 18-215 of the Act (and the statutory effect under Section 18-215 of setting forth such notice in the certifica
2 mentions1 same-page
Page ?Same page
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
t forth in the Certificate of Formation as filed in the office of the Secretary of State pursuant to the Act, and upon the giving of such notice in the Certificate of Formation, the statutory provisions of Section 18-215 of the Act (and the statutory effect under Section 18-215 of setting forth such notice in the certifica
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Mutual Connections (126)
Entities connected to both the Financial Advisor's and the Certificate of Formation
Internal Revenue Service
ORGANIZATION5 w/ the·5 w/ the
UBS AG
ORGANIZATION6 w/ the·3 w/ the
the Delaware Limited Liability Company Act
ORGANIZATION3 w/ the·6 w/ the
UBS Securities LLC
ORGANIZATION5 w/ the·3 w/ the
New Hampshire
LOCATION5 w/ the·3 w/ the
Department of Justice
ORGANIZATION5 w/ the·3 w/ the
UBS Fund
ORGANIZATION5 w/ the·3 w/ the
Lehman Structured Products
ORGANIZATION5 w/ the·3 w/ the
Massachusetts Securities Division
ORGANIZATION5 w/ the·3 w/ the
the North American Securities Administrators Association
ORGANIZATION5 w/ the·3 w/ the
Civil Penalty
ORGANIZATION5 w/ the·3 w/ the
Cease & Desist
ORGANIZATION5 w/ the·3 w/ the
General State of NY
ORGANIZATION5 w/ the·3 w/ the
Brought
ORGANIZATION5 w/ the·3 w/ the
The Ohio Division of Securities
ORGANIZATION5 w/ the·3 w/ the
Back Taxes Payment
ORGANIZATION5 w/ the·3 w/ the
Swiss Federal Banking Commission
ORGANIZATION5 w/ the·3 w/ the
New York State
LOCATION5 w/ the·3 w/ the
Parent Company
ORGANIZATION5 w/ the·3 w/ the
Lehman
ORGANIZATION5 w/ the·3 w/ the