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Document Mentions (5 shared documents)
2 mentions1 same-page
Page ?Same page
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
ation 60 (11 NYCRR 51.5). 10. 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 cerson license. ML281837-MAXWELL Page 3 of 4 CONFIDENTIAL
2 mentions1 same-page
Page ?Same page
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
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. ER30 378-MAXWELL Page 3 of 4 CONFIDENTIAL
2 mentions1 same-page
Page ?Same page
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
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
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2 mentions1 same-page
Page ?Same page
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
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
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
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 (130)
Entities connected to both UBS Fund and The Ohio Division of Securities
UBS AG
ORGANIZATION9 w/ UBS·5 w/ The
UBS Securities LLC
ORGANIZATION7 w/ UBS·7 w/ The
the Securities and Exchange Commission
ORGANIZATION8 w/ UBS·5 w/ The
Federal Reserve
ORGANIZATION8 w/ UBS·5 w/ The
Department of Justice
ORGANIZATION7 w/ UBS·5 w/ The
Cease & Desist
ORGANIZATION7 w/ UBS·5 w/ The
Fannie Mae
ORGANIZATION7 w/ UBS·5 w/ The
United States
LOCATION8 w/ UBS·4 w/ The
Brought
ORGANIZATION5 w/ UBS·7 w/ The
Ghislaine Maxwell
PERSON7 w/ UBS·4 w/ The
UBS Fund Advisor
ORGANIZATION6 w/ UBS·4 w/ The
New York State
LOCATION5 w/ UBS·5 w/ The
Internal Revenue Service
ORGANIZATION5 w/ UBS·5 w/ The
Dept. of
ORGANIZATION5 w/ UBS·5 w/ The
Lehman
ORGANIZATION5 w/ UBS·5 w/ The
New Hampshire
LOCATION5 w/ UBS·5 w/ The
Lehman Structured Products
ORGANIZATION5 w/ UBS·5 w/ The
Massachusetts Securities Division
ORGANIZATION5 w/ UBS·5 w/ The
the North American Securities Administrators Association
ORGANIZATION5 w/ UBS·5 w/ The
Civil Penalty
ORGANIZATION5 w/ UBS·5 w/ The