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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
ennium Global Estate GP is registered with the CFTC as a commodity pool operator ("CPO"), as a commodity trading advisor ("CTA") and is a member of the U.S. National Futures Association. In addition, Mr. Englander, the ultimate control person of each of the General Partner, Millennium International Management and Millennium Global
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
. Commodity Futures Trading Commission (the "CFTC") as a commodity pool operator ("CPO"), as a commodity trading advisor ("CTA") and is a member of the U.S. National Futures Association. In addition, Israel Englander, the managing member or control person of each of the General Partner, Millennium International Management and Mille
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
. Commodity Futures Trading Commission (the "CFTC") as a commodity pool operator ("CPO"), as a commodity trading advisor ("CTA") and is a member of the U.S. National Futures Association. In addition, Israel Englander, the managing member or control person of each of the General Partner, Millennium International Management and Mille
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Mutual Connections (126)
Entities connected to both the Financial Advisor's and the U.S. National Futures Association
UBS AG
ORGANIZATION6 w/ the·3 w/ the
New Hampshire
LOCATION5 w/ the·3 w/ the
Parent Company
ORGANIZATION5 w/ the·3 w/ the
Dept. of
ORGANIZATION5 w/ the·3 w/ the
Lehman
ORGANIZATION5 w/ the·3 w/ the
Brought
ORGANIZATION5 w/ the·3 w/ the
The Ohio Division of Securities
ORGANIZATION5 w/ the·3 w/ the
Back Taxes Payment
ORGANIZATION5 w/ the·3 w/ the
Swiss Federal Banking Commission
ORGANIZATION5 w/ the·3 w/ the
Fannie Mae
ORGANIZATION5 w/ the·3 w/ the
UBS Securities LLC
ORGANIZATION5 w/ the·3 w/ the
the Securities and Exchange Commission
ORGANIZATION5 w/ the·3 w/ the
Department of Justice
ORGANIZATION5 w/ the·3 w/ the
New York State
LOCATION5 w/ the·3 w/ the
Internal Revenue Service
ORGANIZATION5 w/ the·3 w/ the
Federal Reserve
ORGANIZATION5 w/ the·3 w/ the
UBS Fund
ORGANIZATION5 w/ the·3 w/ the
Lehman Structured Products
ORGANIZATION5 w/ the·3 w/ the
Massachusetts Securities Division
ORGANIZATION5 w/ the·3 w/ the
the North American Securities Administrators Association
ORGANIZATION5 w/ the·3 w/ the