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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
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
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
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
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
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
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Mutual Connections (126)
Entities connected to both The Ohio Division of Securities and Broker-Dealer
Brought
ORGANIZATION7 w/ The·3 w/ Broker-Dealer
UBS Securities LLC
ORGANIZATION7 w/ The·3 w/ Broker-Dealer
the Financial Advisor's
ORGANIZATION5 w/ The·3 w/ Broker-Dealer
Parent Company
ORGANIZATION5 w/ The·3 w/ Broker-Dealer
Dept. of
ORGANIZATION5 w/ The·3 w/ Broker-Dealer
Lehman
ORGANIZATION5 w/ The·3 w/ Broker-Dealer
New Hampshire
LOCATION5 w/ The·3 w/ Broker-Dealer
Cease & Desist
ORGANIZATION5 w/ The·3 w/ Broker-Dealer
General State of NY
ORGANIZATION5 w/ The·3 w/ Broker-Dealer
Back Taxes Payment
ORGANIZATION5 w/ The·3 w/ Broker-Dealer
Swiss Federal Banking Commission
ORGANIZATION5 w/ The·3 w/ Broker-Dealer
Fannie Mae
ORGANIZATION5 w/ The·3 w/ Broker-Dealer
the Securities and Exchange Commission
ORGANIZATION5 w/ The·3 w/ Broker-Dealer
Department of Justice
ORGANIZATION5 w/ The·3 w/ Broker-Dealer
New York State
LOCATION5 w/ The·3 w/ Broker-Dealer
Internal Revenue Service
ORGANIZATION5 w/ The·3 w/ Broker-Dealer
UBS AG
ORGANIZATION5 w/ The·3 w/ Broker-Dealer
Federal Reserve
ORGANIZATION5 w/ The·3 w/ Broker-Dealer
UBS Fund
ORGANIZATION5 w/ The·3 w/ Broker-Dealer
Lehman Structured Products
ORGANIZATION5 w/ The·3 w/ Broker-Dealer