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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
artnership will be received free of all Cayman Islands taxes. The Master Partnership is registered as an "exempted limited partnership" pursuant to the Exempted Limited Partnership Law (as amended). The Master Partnership has received an undertaking from the Governor in Cabinet of the Cayman Islands dated November 28, 2000 to the
2 mentions1 same-page
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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
artnership will be received free of all Cayman Islands taxes. The Master Partnership is registered as an "exempted limited partnership" pursuant to the Exempted Limited Partnership Law (as amended). The Master Partnership has received an undertaking from the Governor in Cabinet of the Cayman Islands dated November 28, 2000 to the
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
artnership will be received free of all Cayman Islands taxes. The Master Partnership is registered as an "exempted limited partnership" pursuant to the Exempted Limited Partnership Law (as amended). The Master Partnership has received an undertaking from the Governor in Cabinet of the Cayman Islands dated November 28, 2000 to the
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Mutual Connections (126)
Entities connected to both the Financial Advisor's and the Exempted Limited Partnership Law
UBS AG
ORGANIZATION6 w/ the·3 w/ the
New York State
LOCATION5 w/ the·4 w/ the
New Hampshire
LOCATION5 w/ the·3 w/ the
Fannie Mae
ORGANIZATION5 w/ the·3 w/ the
the Securities and Exchange Commission
ORGANIZATION5 w/ the·3 w/ the
Parent Company
ORGANIZATION5 w/ the·3 w/ the
Dept. of
ORGANIZATION5 w/ the·3 w/ the
Brought
ORGANIZATION5 w/ the·3 w/ the
Federal Reserve
ORGANIZATION5 w/ the·3 w/ the
The Ohio Division of Securities
ORGANIZATION5 w/ the·3 w/ the
UBS Securities LLC
ORGANIZATION5 w/ the·3 w/ the
Back Taxes Payment
ORGANIZATION5 w/ the·3 w/ the
United States
LOCATION4 w/ the·4 w/ the
Lehman
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