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Document Mentions (4 shared documents)
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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
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of 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. Page 3 of 4 CONFI DENTIAL UBSTERFtAMAR00004122 EFTA00239454 FOR EXISTING INVESTOR USE ONLY
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of 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. "\.1.172-8-1-8 1 7-M A X ‘,/Wht. Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00002515 EFTA00238071
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
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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
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
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Mutual Connections (127)
Entities connected to both the Financial Advisor's and the Connecticut Department of Banking
UBS AG
ORGANIZATION6 w/ the·4 w/ the
Federal Reserve
ORGANIZATION5 w/ the·4 w/ the
Swiss Federal Banking Commission
ORGANIZATION5 w/ the·4 w/ the
Parent Company
ORGANIZATION5 w/ the·4 w/ the
Dept. of
ORGANIZATION5 w/ the·4 w/ the
Back Taxes Payment
ORGANIZATION5 w/ the·4 w/ the
Fannie Mae
ORGANIZATION5 w/ the·4 w/ the
UBS Securities LLC
ORGANIZATION5 w/ the·4 w/ the
the Securities and Exchange Commission
ORGANIZATION5 w/ the·4 w/ the
Department of Justice
ORGANIZATION5 w/ the·4 w/ the
New York State
LOCATION5 w/ the·4 w/ the
Lehman
ORGANIZATION5 w/ the·4 w/ the
Internal Revenue Service
ORGANIZATION5 w/ the·4 w/ the
New Hampshire
LOCATION5 w/ the·4 w/ the
UBS Fund
ORGANIZATION5 w/ the·4 w/ the
Lehman Structured Products
ORGANIZATION5 w/ the·4 w/ the
Massachusetts Securities Division
ORGANIZATION5 w/ the·4 w/ the
the North American Securities Administrators Association
ORGANIZATION5 w/ the·4 w/ the
Civil Penalty
ORGANIZATION5 w/ the·4 w/ the
Cease & Desist
ORGANIZATION5 w/ the·4 w/ the