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Document Mentions (7 shared documents)
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to supervise. Disposition: Fine Fine: 595,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By. Secretary of State of 47 States and Washington Allegations: Violation of Securities Act regulations regarding research practices and conflicts o
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
n* to supervise. Disposition: Fine Fine: $95,000 6. Date of Action: April 28, 2003 March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Vitiation of Securities Act regulations regarding research practices and confli
ulation 60 (11 NYCRR 51.5). 9. Date of Action: May 12.2000 Entity: Individual Financial Advisor Brought By: Ohio Division ol Securities Details: The Ohio Division of Securities issued a final order to deny the Finaecal Advisor's application fo' a securities sales person license. JO. Date of Action: February 2, 7010 Entit
2 mentions1 same-page
Page ?Same page
n* to supervise. Disposition: Fine Fine: $95,000 6. Date of Action: April 28, 2003 March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Vitiation of Securities Act regulations regarding research practices and confli
ulation 60 (11 NYCRR 51.5). 9. Date of Action: May 12.2000 Entity: Individual Financial Advisor Brought By: Ohio Division ol Securities Details: The Ohio Division of Securities issued a final order to deny the Finaecal Advisor's application fo' a securities sales person license. JO. Date of Action: February 2, 7010 Entit
Sponsored
2 mentions1 same-page
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to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington M. Allegations: Violation of Securities Act regulations regarding research practices and conflict
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
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Violation of Securities Act regulations regarding research practices and confli
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
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Violation of Securities Act regulations regarding research practices and confli
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
Sponsored
2 mentions1 same-page
Page ?Same page
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington M. Allegations: Violation of Securities Act regulations regarding research practices and conflict
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 (137)
Entities connected to both Brought and The Ohio Division of Securities
UBS Securities LLC
ORGANIZATION7 w/ Brought·7 w/ The
Swiss Federal Banking Commission
ORGANIZATION5 w/ Brought·5 w/ The
Lehman
ORGANIZATION5 w/ Brought·5 w/ The
Fannie Mae
ORGANIZATION5 w/ Brought·5 w/ The
New Hampshire
LOCATION5 w/ Brought·5 w/ The
Federal Reserve
ORGANIZATION5 w/ Brought·5 w/ The
UBS Fund
ORGANIZATION5 w/ Brought·5 w/ The
Lehman Structured Products
ORGANIZATION5 w/ Brought·5 w/ The
Massachusetts Securities Division
ORGANIZATION5 w/ Brought·5 w/ The
the North American Securities Administrators Association
ORGANIZATION5 w/ Brought·5 w/ The
Civil Penalty
ORGANIZATION5 w/ Brought·5 w/ The
Cease & Desist
ORGANIZATION5 w/ Brought·5 w/ The
the Financial Advisor's
ORGANIZATION5 w/ Brought·5 w/ The
Parent Company
ORGANIZATION5 w/ Brought·5 w/ The
Dept. of
ORGANIZATION5 w/ Brought·5 w/ The
Back Taxes Payment
ORGANIZATION5 w/ Brought·5 w/ The
the Securities and Exchange Commission
ORGANIZATION5 w/ Brought·5 w/ The
Department of Justice
ORGANIZATION5 w/ Brought·5 w/ The
New York State
LOCATION5 w/ Brought·5 w/ The
Internal Revenue Service
ORGANIZATION5 w/ Brought·5 w/ The