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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
to supervise. Disposition: Fine Fine: 595,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By. Secretary of State of 47 States and Washington Allegations: Violation of Securities Act regulations regarding research practices and conflicts o
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. ER30 378-MAXWELL Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00002087 EFTA00237718 Disclosure Stat
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington M. Allegations: Violation of Securities Act regulations regarding research practices and conflict
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
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Violation of Securities Act regulations regarding research practices and confli
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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
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Violation of Securities Act regulations regarding research practices and confli
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
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington M. Allegations: Violation of Securities Act regulations regarding research practices and conflict
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Mutual Connections (130)
Entities connected to both the Financial Advisor's and Brought
The Ohio Division of Securities
ORGANIZATION5 w/ the·7 w/ Brought
UBS Securities LLC
ORGANIZATION5 w/ the·7 w/ Brought
UBS AG
ORGANIZATION6 w/ the·5 w/ Brought
Parent Company
ORGANIZATION5 w/ the·5 w/ Brought
Dept. of
ORGANIZATION5 w/ the·5 w/ Brought
Swiss Federal Banking Commission
ORGANIZATION5 w/ the·5 w/ Brought
the Securities and Exchange Commission
ORGANIZATION5 w/ the·5 w/ Brought
Department of Justice
ORGANIZATION5 w/ the·5 w/ Brought
New York State
LOCATION5 w/ the·5 w/ Brought
Lehman
ORGANIZATION5 w/ the·5 w/ Brought
Fannie Mae
ORGANIZATION5 w/ the·5 w/ Brought
New Hampshire
LOCATION5 w/ the·5 w/ Brought
Massachusetts Securities Division
ORGANIZATION5 w/ the·5 w/ Brought
the North American Securities Administrators Association
ORGANIZATION5 w/ the·5 w/ Brought
Civil Penalty
ORGANIZATION5 w/ the·5 w/ Brought
Cease & Desist
ORGANIZATION5 w/ the·5 w/ Brought
General State of NY
ORGANIZATION5 w/ the·5 w/ Brought
Federal Reserve
ORGANIZATION5 w/ the·5 w/ Brought
Internal Revenue Service
ORGANIZATION5 w/ the·5 w/ Brought
Back Taxes Payment
ORGANIZATION5 w/ the·5 w/ Brought