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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. ER30 378-MAXWELL Page 3 of 4 CONFIDENTIAL
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (DO;), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DOJ, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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. Page 3 of 4 CONFI DENTIAL UBSTERFtAMAR000
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
Sponsored
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
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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Mutual Connections (127)
Entities connected to both The Ohio Division of Securities and Connecticut Department
Brought
ORGANIZATION7 w/ The·4 w/ Connecticut
UBS Securities LLC
ORGANIZATION7 w/ The·4 w/ Connecticut
New Hampshire
LOCATION5 w/ The·4 w/ Connecticut
the Financial Advisor's
ORGANIZATION5 w/ The·4 w/ Connecticut
Parent Company
ORGANIZATION5 w/ The·4 w/ Connecticut
Dept. of
ORGANIZATION5 w/ The·4 w/ Connecticut
Back Taxes Payment
ORGANIZATION5 w/ The·4 w/ Connecticut
Lehman
ORGANIZATION5 w/ The·4 w/ Connecticut
Fannie Mae
ORGANIZATION5 w/ The·4 w/ Connecticut
Cease & Desist
ORGANIZATION5 w/ The·4 w/ Connecticut
General State of NY
ORGANIZATION5 w/ The·4 w/ Connecticut
UBS AG
ORGANIZATION5 w/ The·4 w/ Connecticut
Federal Reserve
ORGANIZATION5 w/ The·4 w/ Connecticut
Swiss Federal Banking Commission
ORGANIZATION5 w/ The·4 w/ Connecticut
the Securities and Exchange Commission
ORGANIZATION5 w/ The·4 w/ Connecticut
Department of Justice
ORGANIZATION5 w/ The·4 w/ Connecticut
New York State
LOCATION5 w/ The·4 w/ Connecticut
Internal Revenue Service
ORGANIZATION5 w/ The·4 w/ Connecticut
UBS Fund
ORGANIZATION5 w/ The·4 w/ Connecticut
Lehman Structured Products
ORGANIZATION5 w/ The·4 w/ Connecticut