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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
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
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
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
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
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
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Mutual Connections (126)
Entities connected to both The Ohio Division of Securities and the applicable Portfolio Managers
Brought
ORGANIZATION7 w/ The·3 w/ the
UBS Securities LLC
ORGANIZATION7 w/ The·3 w/ the
the Financial Advisor's
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Parent Company
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Dept. of
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Lehman
ORGANIZATION5 w/ The·3 w/ the
New Hampshire
LOCATION5 w/ The·3 w/ the
Cease & Desist
ORGANIZATION5 w/ The·3 w/ the
General State of NY
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
Fannie Mae
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
Federal Reserve
ORGANIZATION5 w/ The·3 w/ the
UBS Fund
ORGANIZATION5 w/ The·3 w/ the
Lehman Structured Products
ORGANIZATION5 w/ The·3 w/ the