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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
s of 50% (or such other specified percentage) of the aggregate Capital Account balances of all Members. Majority (or other specified percentage) in Unaffiliated Interest means, as of any date, one or more Unaffiliated Members that then in the aggregate have Unaffiliated Fund Percentages in excess of 50% (or such oth
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
s of 50% (or such other specified percentage) of the aggregate Capital Account balances of all Members. Majority (or other specified percentage) in Unaffiliated Interest means, as of any date, one or more Unaffiliated Members that then in the aggregate have Unaffiliated Fund Percentages in excess of 50% (or such oth
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. - rvi-A ><WVE L L Page 3 of 4 CONFIDENTIA
s of 50% (or such other specified percentage) of the aggregate Capital Account balances of all Members. Majority (or other specified percentage) in Unaffiliated Interest means, as of any date, one or more Unaffiliated Members that then in the aggregate have Unaffiliated Fund Percentages in excess of 50% (or such oth
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Mutual Connections (126)
Entities connected to both The Ohio Division of Securities and Unaffiliated Interest
Brought
ORGANIZATION7 w/ The·3 w/ Unaffiliated
UBS Securities LLC
ORGANIZATION7 w/ The·3 w/ Unaffiliated
the Financial Advisor's
ORGANIZATION5 w/ The·3 w/ Unaffiliated
Parent Company
ORGANIZATION5 w/ The·3 w/ Unaffiliated
Dept. of
ORGANIZATION5 w/ The·3 w/ Unaffiliated
Lehman
ORGANIZATION5 w/ The·3 w/ Unaffiliated
New Hampshire
LOCATION5 w/ The·3 w/ Unaffiliated
Cease & Desist
ORGANIZATION5 w/ The·3 w/ Unaffiliated
General State of NY
ORGANIZATION5 w/ The·3 w/ Unaffiliated
Back Taxes Payment
ORGANIZATION5 w/ The·3 w/ Unaffiliated
Swiss Federal Banking Commission
ORGANIZATION5 w/ The·3 w/ Unaffiliated
Fannie Mae
ORGANIZATION5 w/ The·3 w/ Unaffiliated
the Securities and Exchange Commission
ORGANIZATION5 w/ The·3 w/ Unaffiliated
Department of Justice
ORGANIZATION5 w/ The·3 w/ Unaffiliated
New York State
LOCATION5 w/ The·3 w/ Unaffiliated
Internal Revenue Service
ORGANIZATION5 w/ The·3 w/ Unaffiliated
UBS AG
ORGANIZATION5 w/ The·3 w/ Unaffiliated
Federal Reserve
ORGANIZATION5 w/ The·3 w/ Unaffiliated
UBS Fund
ORGANIZATION5 w/ The·3 w/ Unaffiliated
Lehman Structured Products
ORGANIZATION5 w/ The·3 w/ Unaffiliated