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om time to time by the Manager. The Fund shall have its registered office in the State of Delaware at 2711 Centerville Road, Suite 400, Wilmington, New Castle County, Delaware 19808, and shall have Corporation Service Company as its registered agent at such registered office for service of process in the State o
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 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 UBSTERFtAMAR000
2 mentions1 same-page
Page ?Same page
om time to time by the Manager. The Fund shall have its registered office in the State of Delaware at 2711 Centerville Road, Suite 400, Wilmington, New Castle County, Delaware 19808, and shall have Corporation Service Company as its registered agent at such registered office for service of process in the State o
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 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
2 mentions1 same-page
Page ?Same page
om time to time by the Manager. The Fund shall have its registered office in the State of Delaware at 2711 Centerville Road, Suite 400, Wilmington, New Castle County, Delaware 19808, and shall have Corporation Service Company as its registered agent at such registered office for service of process in the State o
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 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 CONFIDENTIA
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Mutual Connections (126)
Entities connected to both New Castle County and The Ohio Division of Securities
UBS Securities LLC
ORGANIZATION3 w/ New·7 w/ The
Brought
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Department of Justice
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Wilmington
LOCATION5 w/ New·3 w/ The
the Financial Advisor's
ORGANIZATION3 w/ New·5 w/ The
Parent Company
ORGANIZATION3 w/ New·5 w/ The
Dept. of
ORGANIZATION3 w/ New·5 w/ The
Swiss Federal Banking Commission
ORGANIZATION3 w/ New·5 w/ The
Internal Revenue Service
ORGANIZATION3 w/ New·5 w/ The
the Securities and Exchange Commission
ORGANIZATION3 w/ New·5 w/ The
UBS AG
ORGANIZATION3 w/ New·5 w/ The
Federal Reserve
ORGANIZATION3 w/ New·5 w/ The
Fannie Mae
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Lehman
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New Hampshire
LOCATION3 w/ New·5 w/ The
New York State
LOCATION3 w/ New·5 w/ The
UBS Fund
ORGANIZATION3 w/ New·5 w/ The
Lehman Structured Products
ORGANIZATION3 w/ New·5 w/ The
Massachusetts Securities Division
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the North American Securities Administrators Association
ORGANIZATION3 w/ New·5 w/ The