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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
meeting is to be called shall be provided to the Manager. In the case of a meeting called by the Soliciting Members for the purpose of terminating the Administrative Services Agreement or removing the Administrator pursuant to the Administrative Services Agreement, such written proposal shall also set forth the name, qualification
2 mentions1 same-page
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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. "\.1.172-8-1-8 1 7-M A X ‘,/Wht. Page 3 of
meeting is to be called shall be provided to the Manager. In the case of a meeting called by the Soliciting Members for the purpose of terminating the Administrative Services Agreement or removing the Administrator pursuant to the Administrative Services Agreement, such written proposal shall also set forth the name, qualification
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
meeting is to be called shall be provided to the Manager. In the case of a meeting called by the Soliciting Members for the purpose of terminating the Administrative Services Agreement or removing the Administrator pursuant to the Administrative Services Agreement, such written proposal shall also set forth the name, qualification
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Mutual Connections (126)
Entities connected to both The Ohio Division of Securities and the Administrative Services Agreement
UBS AG
ORGANIZATION5 w/ The·5 w/ the
Brought
ORGANIZATION7 w/ The·3 w/ the
UBS Securities LLC
ORGANIZATION7 w/ The·3 w/ the
Fannie Mae
ORGANIZATION5 w/ The·4 w/ the
the Securities and Exchange Commission
ORGANIZATION5 w/ The·4 w/ the
Federal Reserve
ORGANIZATION5 w/ The·4 w/ the
UBS Fund Advisor
ORGANIZATION4 w/ The·5 w/ the
United States
LOCATION4 w/ The·5 w/ the
UBS Fund
ORGANIZATION5 w/ The·4 w/ the
Internal Revenue Service
ORGANIZATION5 w/ The·3 w/ the
Lehman
ORGANIZATION5 w/ The·3 w/ the
Cease & Desist
ORGANIZATION5 w/ The·3 w/ the
General State of NY
ORGANIZATION5 w/ The·3 w/ the
the North American Securities Administrators Association
ORGANIZATION5 w/ The·3 w/ the
Back Taxes Payment
ORGANIZATION5 w/ The·3 w/ the
Swiss Federal Banking Commission
ORGANIZATION5 w/ The·3 w/ the
Ernst & Young LLP
ORGANIZATION3 w/ The·5 w/ the
New Hampshire
LOCATION5 w/ The·3 w/ the
Massachusetts Securities Division
ORGANIZATION5 w/ The·3 w/ the
Department of Justice
ORGANIZATION5 w/ The·3 w/ the