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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
books as of the first day of each Fiscal Period. The Fund Percentage of a Member for a Fiscal Period shall be determined by dividing the balance of the Member's Capital Account as of the commencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period.
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
books as of the first day of each Fiscal Period. The Fund Percentage of a Member for a Fiscal Period shall be determined by dividing the balance of the Member's Capital Account as of the commencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period.
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
books as of the first day of each Fiscal Period. The Fund Percentage of a Member for a Fiscal Period shall be determined by dividing the balance of the Member's Capital Account as of the commencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period.
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Mutual Connections (126)
Entities connected to both The Ohio Division of Securities and the Member's Capital Account
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
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