Document Mentions (3 shared documents)

EFTA00239188_sub_003 - EFTA00239188_269

2 mentions1 same-page

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Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB

unts than those which have been selected. Additional Activities Mr. Englander has a minority, passive interest in a non-Millennium broker-dealer, Israel A. Englander & Co., Inc ("Englander & Co."). To the extent that the Fund or a Portfolio Manager employs the services of Englander & Co., this could constitute a confli

EFTA00237816_sub_003 - EFTA00237816_258

2 mentions1 same-page

Page ?Same page

Millennium in its sole discretion. Outside Business Activities Mr. Englander has a minority, passive interest in a non-Millennium broker-dealer, Israel A. Englander & Co., Inc ("Englander & Co."). To the extent that the Fund or a Portfolio Manager employs the services of Englander & Co., this could constitute a confl

EFTA00236853_sub_003 - EFTA00236853_258

2 mentions1 same-page

Page ?Same page