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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
f this Agreement, the transferee shall succeed to the Capital Account of the transferor to the extent it relates to the transferred Interest. 5.4 Allocation of Net Profit and Net Loss. As of the last day of each Fiscal Period, any Net Profit or Net Loss for the Fiscal Period shall be allocated among and credited to or debited agai
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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
f this Agreement, the transferee shall succeed to the Capital Account of the transferor to the extent it relates to the transferred Interest. 5.4 Allocation of Net Profit and Net Loss. As of the last day of each Fiscal Period, any Net Profit or Net Loss for the Fiscal Period shall be allocated among and credited to or debited agai
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
f this Agreement, the transferee shall succeed to the Capital Account of the transferor to the extent it relates to the transferred Interest. 5.4 Allocation of Net Profit and Net Loss. As of the last day of each Fiscal Period, any Net Profit or Net Loss for the Fiscal Period shall be allocated among and credited to or debited agai
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Mutual Connections (126)
Entities connected to both the Financial Advisor's and Allocation of Net Profit and Net Loss
UBS AG
ORGANIZATION6 w/ the·3 w/ Allocation
New Hampshire
LOCATION5 w/ the·3 w/ Allocation
Parent Company
ORGANIZATION5 w/ the·3 w/ Allocation
Dept. of
ORGANIZATION5 w/ the·3 w/ Allocation
Lehman
ORGANIZATION5 w/ the·3 w/ Allocation
Brought
ORGANIZATION5 w/ the·3 w/ Allocation
The Ohio Division of Securities
ORGANIZATION5 w/ the·3 w/ Allocation
Back Taxes Payment
ORGANIZATION5 w/ the·3 w/ Allocation
Swiss Federal Banking Commission
ORGANIZATION5 w/ the·3 w/ Allocation
Fannie Mae
ORGANIZATION5 w/ the·3 w/ Allocation
UBS Securities LLC
ORGANIZATION5 w/ the·3 w/ Allocation
the Securities and Exchange Commission
ORGANIZATION5 w/ the·3 w/ Allocation
Department of Justice
ORGANIZATION5 w/ the·3 w/ Allocation
New York State
LOCATION5 w/ the·3 w/ Allocation
Internal Revenue Service
ORGANIZATION5 w/ the·3 w/ Allocation
Federal Reserve
ORGANIZATION5 w/ the·3 w/ Allocation
UBS Fund
ORGANIZATION5 w/ the·3 w/ Allocation
Lehman Structured Products
ORGANIZATION5 w/ the·3 w/ Allocation
Massachusetts Securities Division
ORGANIZATION5 w/ the·3 w/ Allocation
the North American Securities Administrators Association
ORGANIZATION5 w/ the·3 w/ Allocation