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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 cerson license. ML281837-MAXWELL Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00001134 EFTA00236790 Disclosure Stat
Allegations: violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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. ER30 378-MAXWELL Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00002087 EFTA00237718 Disclosure Stat
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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. Page 3 of 4 CONFI DENTIAL UBSTERFtAMAR00004122 EFTA00239454 FOR EXISTING INVESTOR USE ONLY
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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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
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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. - rvi-A ><WVE L L Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00001462 EFTA00237108 Disclosure Sta
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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Mutual Connections (130)
Entities connected to both the Financial Advisor's and Civil Penalty
UBS AG
ORGANIZATION6 w/ the·5 w/ Civil
Fannie Mae
ORGANIZATION5 w/ the·5 w/ Civil
New Hampshire
LOCATION5 w/ the·5 w/ Civil
Lehman
ORGANIZATION5 w/ the·5 w/ Civil
the North American Securities Administrators Association
ORGANIZATION5 w/ the·5 w/ Civil
Cease & Desist
ORGANIZATION5 w/ the·5 w/ Civil
General State of NY
ORGANIZATION5 w/ the·5 w/ Civil
Brought
ORGANIZATION5 w/ the·5 w/ Civil
The Ohio Division of Securities
ORGANIZATION5 w/ the·5 w/ Civil
Federal Reserve
ORGANIZATION5 w/ the·5 w/ Civil
Parent Company
ORGANIZATION5 w/ the·5 w/ Civil
Dept. of
ORGANIZATION5 w/ the·5 w/ Civil
Swiss Federal Banking Commission
ORGANIZATION5 w/ the·5 w/ Civil
UBS Securities LLC
ORGANIZATION5 w/ the·5 w/ Civil
the Securities and Exchange Commission
ORGANIZATION5 w/ the·5 w/ Civil
Department of Justice
ORGANIZATION5 w/ the·5 w/ Civil
New York State
LOCATION5 w/ the·5 w/ Civil
Internal Revenue Service
ORGANIZATION5 w/ the·5 w/ Civil
Back Taxes Payment
ORGANIZATION5 w/ the·5 w/ Civil
UBS Fund
ORGANIZATION5 w/ the·5 w/ Civil