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llocated among and credited to or debited against the Capital Accounts of the Members in accordance with their respective Fund Percentages for such Fiscal Period, except to the extent otherwise provided in this Agreement with respect to items of profit or loss that are to be allocated on a non-pro rata basis
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
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llocated among and credited to or debited against the Capital Accounts of the Members in accordance with their respective Fund Percentages for such Fiscal Period, except to the extent otherwise provided in this Agreement with respect to items of profit or loss that are to be allocated on a non-pro rata basis
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
llocated among and credited to or debited against the Capital Accounts of the Members in accordance with their respective Fund Percentages for such Fiscal Period, except to the extent otherwise provided in this Agreement with respect to items of profit or loss that are to be allocated on a non-pro rata basis
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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Entities connected to both Fiscal Period and The Ohio Division of Securities
UBS Securities LLC
ORGANIZATION3 w/ Fiscal·7 w/ The
Brought
ORGANIZATION3 w/ Fiscal·7 w/ The
Wilmington
LOCATION5 w/ Fiscal·3 w/ The
New Hampshire
LOCATION3 w/ Fiscal·5 w/ The
Fannie Mae
ORGANIZATION3 w/ Fiscal·5 w/ The
the Financial Advisor's
ORGANIZATION3 w/ Fiscal·5 w/ The
Dept. of
ORGANIZATION3 w/ Fiscal·5 w/ The
the Securities and Exchange Commission
ORGANIZATION3 w/ Fiscal·5 w/ The
UBS AG
ORGANIZATION3 w/ Fiscal·5 w/ The
Federal Reserve
ORGANIZATION3 w/ Fiscal·5 w/ The
United States
LOCATION4 w/ Fiscal·4 w/ The
Lehman
ORGANIZATION3 w/ Fiscal·5 w/ The
Samantha Power
PERSON4 w/ Fiscal·4 w/ The
Parent Company
ORGANIZATION3 w/ Fiscal·5 w/ The
Department of Justice
ORGANIZATION3 w/ Fiscal·5 w/ The
New York State
LOCATION3 w/ Fiscal·5 w/ The
UBS Fund
ORGANIZATION3 w/ Fiscal·5 w/ The
Lehman Structured Products
ORGANIZATION3 w/ Fiscal·5 w/ The
Massachusetts Securities Division
ORGANIZATION3 w/ Fiscal·5 w/ The
the North American Securities Administrators Association
ORGANIZATION3 w/ Fiscal·5 w/ The