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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
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the oth
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
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the oth
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
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the oth
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Mutual Connections (126)
Entities connected to both The Ohio Division of Securities and the Negative Basis
Brought
ORGANIZATION7 w/ The·3 w/ the
UBS Securities LLC
ORGANIZATION7 w/ The·3 w/ the
the Financial Advisor's
ORGANIZATION5 w/ The·3 w/ the
Parent Company
ORGANIZATION5 w/ The·3 w/ the
Dept. of
ORGANIZATION5 w/ The·3 w/ the
Fannie Mae
ORGANIZATION5 w/ The·3 w/ the
New Hampshire
LOCATION5 w/ The·3 w/ the
Back Taxes Payment
ORGANIZATION5 w/ The·3 w/ the
Swiss Federal Banking Commission
ORGANIZATION5 w/ The·3 w/ the
Federal Reserve
ORGANIZATION5 w/ The·3 w/ the
Samantha Power
PERSON4 w/ The·4 w/ the
Lehman
ORGANIZATION5 w/ The·3 w/ the
the Securities and Exchange Commission
ORGANIZATION5 w/ The·3 w/ the
Department of Justice
ORGANIZATION5 w/ The·3 w/ the
New York State
LOCATION5 w/ The·3 w/ the
Internal Revenue Service
ORGANIZATION5 w/ The·3 w/ the
UBS AG
ORGANIZATION5 w/ The·3 w/ the
UBS Fund
ORGANIZATION5 w/ The·3 w/ the
Lehman Structured Products
ORGANIZATION5 w/ The·3 w/ the
Massachusetts Securities Division
ORGANIZATION5 w/ The·3 w/ the