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artnership will be received free of all Cayman Islands taxes. The Master Partnership is registered as an "exempted limited partnership" pursuant to the Exempted Limited Partnership Law (as amended). The Master Partnership has received an undertaking from the Governor in Cabinet of the Cayman Islands dated November 28, 2000 to 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
artnership will be received free of all Cayman Islands taxes. The Master Partnership is registered as an "exempted limited partnership" pursuant to the Exempted Limited Partnership Law (as amended). The Master Partnership has received an undertaking from the Governor in Cabinet of the Cayman Islands dated November 28, 2000 to 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
artnership will be received free of all Cayman Islands taxes. The Master Partnership is registered as an "exempted limited partnership" pursuant to the Exempted Limited Partnership Law (as amended). The Master Partnership has received an undertaking from the Governor in Cabinet of the Cayman Islands dated November 28, 2000 to 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 (126)
Entities connected to both the Exempted Limited Partnership Law and The Ohio Division of Securities
Brought
ORGANIZATION3 w/ the·7 w/ The
UBS Securities LLC
ORGANIZATION3 w/ the·7 w/ The
New York State
LOCATION4 w/ the·5 w/ The
Fannie Mae
ORGANIZATION3 w/ the·5 w/ The
the Securities and Exchange Commission
ORGANIZATION3 w/ the·5 w/ The
the Financial Advisor's
ORGANIZATION3 w/ the·5 w/ The
Parent Company
ORGANIZATION3 w/ the·5 w/ The
Dept. of
ORGANIZATION3 w/ the·5 w/ The
General State of NY
ORGANIZATION3 w/ the·5 w/ The
UBS AG
ORGANIZATION3 w/ the·5 w/ The
Federal Reserve
ORGANIZATION3 w/ the·5 w/ The
United States
LOCATION4 w/ the·4 w/ The
Swiss Federal Banking Commission
ORGANIZATION3 w/ the·5 w/ The
Lehman
ORGANIZATION3 w/ the·5 w/ The
UBS Fund
ORGANIZATION3 w/ the·5 w/ The
Lehman Structured Products
ORGANIZATION3 w/ the·5 w/ The
Massachusetts Securities Division
ORGANIZATION3 w/ the·5 w/ The
the North American Securities Administrators Association
ORGANIZATION3 w/ the·5 w/ The
Civil Penalty
ORGANIZATION3 w/ the·5 w/ The
Department of Justice
ORGANIZATION3 w/ the·5 w/ The