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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
y the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no substantive limits on the investment strategies that may be pursued by the Fund. The Fund's capital may be invested in strategies othe
2 mentions1 same-page
Page ?Same page
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
y the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no substantive limits on the investment strategies that may be pursued by the Fund. The Fund's capital may be invested in strategies othe
2 mentions1 same-page
Page ?Same page
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
y the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no substantive limits on the investment strategies that may be pursued by the Fund. The Fund's capital may be invested in strategies othe
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Mutual Connections (126)
Entities connected to both The Ohio Division of Securities and Strategy Development
UBS Securities LLC
ORGANIZATION7 w/ The·4 w/ Strategy
Brought
ORGANIZATION7 w/ The·3 w/ Strategy
New York State
LOCATION5 w/ The·4 w/ Strategy
Federal Reserve
ORGANIZATION5 w/ The·4 w/ Strategy
Lehman
ORGANIZATION5 w/ The·3 w/ Strategy
Parent Company
ORGANIZATION5 w/ The·3 w/ Strategy
Dept. of
ORGANIZATION5 w/ The·3 w/ Strategy
United States
LOCATION4 w/ The·4 w/ Strategy
Swiss Federal Banking Commission
ORGANIZATION5 w/ The·3 w/ Strategy
Internal Revenue Service
ORGANIZATION5 w/ The·3 w/ Strategy
New Hampshire
LOCATION5 w/ The·3 w/ Strategy
Fannie Mae
ORGANIZATION5 w/ The·3 w/ Strategy
the Securities and Exchange Commission
ORGANIZATION5 w/ The·3 w/ Strategy
UBS AG
ORGANIZATION5 w/ The·3 w/ Strategy
the Financial Advisor's
ORGANIZATION5 w/ The·3 w/ Strategy
Department of Justice
ORGANIZATION5 w/ The·3 w/ Strategy
UBS Fund
ORGANIZATION5 w/ The·3 w/ Strategy
Lehman Structured Products
ORGANIZATION5 w/ The·3 w/ Strategy
Massachusetts Securities Division
ORGANIZATION5 w/ The·3 w/ Strategy
the North American Securities Administrators Association
ORGANIZATION5 w/ The·3 w/ Strategy