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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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement ($200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; $400,000,000 14. Date of Action: January 2011 Disposition: SIX Swiss Exchange Regulation OBS AG was fined for
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement ($200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: $380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: 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. Page 3 of 4 CONFI DENTIAL UBSTERFtAMAR00004122 EFTA00239454 FOR EXISTING INVESTOR USE ONLY
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: 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. - rvi-A ><WVE L L Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00001462 EFTA00237108 Disclosure Sta
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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Mutual Connections (130)
Entities connected to both the Financial Advisor's and Back Taxes Payment
UBS AG
ORGANIZATION6 w/ the·5 w/ Back
Fannie Mae
ORGANIZATION5 w/ the·5 w/ Back
New Hampshire
LOCATION5 w/ the·5 w/ Back
Lehman
ORGANIZATION5 w/ the·5 w/ Back
the North American Securities Administrators Association
ORGANIZATION5 w/ the·5 w/ Back
Civil Penalty
ORGANIZATION5 w/ the·5 w/ Back
Cease & Desist
ORGANIZATION5 w/ the·5 w/ Back
General State of NY
ORGANIZATION5 w/ the·5 w/ Back
Brought
ORGANIZATION5 w/ the·5 w/ Back
Federal Reserve
ORGANIZATION5 w/ the·5 w/ Back
Parent Company
ORGANIZATION5 w/ the·5 w/ Back
Dept. of
ORGANIZATION5 w/ the·5 w/ Back
Swiss Federal Banking Commission
ORGANIZATION5 w/ the·5 w/ Back
UBS Securities LLC
ORGANIZATION5 w/ the·5 w/ Back
the Securities and Exchange Commission
ORGANIZATION5 w/ the·5 w/ Back
Department of Justice
ORGANIZATION5 w/ the·5 w/ Back
New York State
LOCATION5 w/ the·5 w/ Back
Internal Revenue Service
ORGANIZATION5 w/ the·5 w/ Back
The Ohio Division of Securities
ORGANIZATION5 w/ the·5 w/ Back
UBS Fund
ORGANIZATION5 w/ the·5 w/ Back