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Document Mentions (3 shared documents)
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n's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time of calculation, the amount by which the
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
n's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time of calculation, the amount by which the
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
n's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time of calculation, the amount by which the
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 (127)
Entities connected to both Millennium Management LLC and The Ohio Division of Securities
Millennium USA LP
ORGANIZATION8 w/ Millennium·3 w/ The
UBS Securities LLC
ORGANIZATION3 w/ Millennium·7 w/ The
Millennium
ORGANIZATION7 w/ Millennium·3 w/ The
United States
LOCATION6 w/ Millennium·4 w/ The
Brought
ORGANIZATION3 w/ Millennium·7 w/ The
New York State
LOCATION4 w/ Millennium·5 w/ The
Parent Company
ORGANIZATION3 w/ Millennium·5 w/ The
New Hampshire
LOCATION3 w/ Millennium·5 w/ The
Back Taxes Payment
ORGANIZATION3 w/ Millennium·5 w/ The
the Securities and Exchange Commission
ORGANIZATION3 w/ Millennium·5 w/ The
UBS AG
ORGANIZATION3 w/ Millennium·5 w/ The
Federal Reserve
ORGANIZATION3 w/ Millennium·5 w/ The
Lehman
ORGANIZATION3 w/ Millennium·5 w/ The
Fannie Mae
ORGANIZATION3 w/ Millennium·5 w/ The
Ghislaine Maxwell
PERSON4 w/ Millennium·4 w/ The
General State of NY
ORGANIZATION3 w/ Millennium·5 w/ The
Department of Justice
ORGANIZATION3 w/ Millennium·5 w/ The
Cease & Desist
ORGANIZATION3 w/ Millennium·5 w/ The
Internal Revenue Service
ORGANIZATION3 w/ Millennium·5 w/ The
Civil Penalty
ORGANIZATION3 w/ Millennium·5 w/ The