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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
CLAUSES SET FORTH IN SECTION 14.10. WITNESS WHEREOF, the undersigned have duly executed this Agreement as of the day and year first above written. UBS Fund Advisor, L.L.C., as Member Designee By: Name: Title: Authorized Signatory By: Name: Title: Authorized Signatory Initial Member (solely to reflect resi
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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
LIMITED LIABILITY COMPANY AGREEMENT of ALPHAKEYS MILLENNIUM FUND, L.L.C. (the "Fund') is dated and effective as of November [•1, 2018, by and among UBS Fund Advisor, L.L.C., as the manager, and each person admitted to the Fund and reflected on the books of the Fund as a member (a "Member"). WITNESSETH: WHEREAS
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
ENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT of ALPHAKEYS MILLENNIUM FUND, L.L.C. is dated and effective as of April 1, 2014, by and among UBS Fund Advisor, L.L.C., as the manager, and each person admitted to the Fund and reflected on the books of the Fund as a Member. WITNESSETH: WHEREAS, the Fund h
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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. - rvi-A ><WVE L L Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00001462 EFTA00237108 Disclosure Sta
ENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT of ALPHAKEYS MILLENNIUM FUND, L.L.C. is dated and effective as of April 1, 2014, by and among UBS Fund Advisor, L.L.C., as the manager, and each person admitted to the Fund and reflected on the books of the Fund as a Member. WITNESSETH: WHEREAS, the Fund h
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Mutual Connections (128)
Entities connected to both the Financial Advisor's and UBS Fund Advisor
UBS AG
ORGANIZATION6 w/ the·8 w/ UBS
Ghislaine Maxwell
PERSON4 w/ the·8 w/ UBS
United States
LOCATION4 w/ the·8 w/ UBS
Samantha Power
PERSON4 w/ the·7 w/ UBS
UBS Fund
ORGANIZATION5 w/ the·6 w/ UBS
Internal Revenue Service
ORGANIZATION5 w/ the·6 w/ UBS
the Securities and Exchange Commission
ORGANIZATION5 w/ the·6 w/ UBS
Federal Reserve
ORGANIZATION5 w/ the·6 w/ UBS
Fannie Mae
ORGANIZATION5 w/ the·5 w/ UBS
Massachusetts Securities Division
ORGANIZATION5 w/ the·4 w/ UBS
the North American Securities Administrators Association
ORGANIZATION5 w/ the·4 w/ UBS
Civil Penalty
ORGANIZATION5 w/ the·4 w/ UBS
Cease & Desist
ORGANIZATION5 w/ the·4 w/ UBS
General State of NY
ORGANIZATION5 w/ the·4 w/ UBS
Brought
ORGANIZATION5 w/ the·4 w/ UBS
The Ohio Division of Securities
ORGANIZATION5 w/ the·4 w/ UBS
Back Taxes Payment
ORGANIZATION5 w/ the·4 w/ UBS
Swiss Federal Banking Commission
ORGANIZATION5 w/ the·4 w/ UBS
Lehman Structured Products
ORGANIZATION5 w/ the·4 w/ UBS
New York State
LOCATION5 w/ the·4 w/ UBS