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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
filiated Fund Percentages means a percentage established for each Unaffiliated Member on the Fund's books as of the first day of each Fiscal Period. The Unaffiliated Fund Percentage of an Unaffiliated Member shall be determined by dividing the balance of the Unaffiliated Member's Capital Account as of the commencement of such F
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
filiated Fund Percentages means a percentage established for each Unaffiliated Member on the Fund's books as of the first day of each Fiscal Period. The Unaffiliated Fund Percentage of an Unaffiliated Member shall be determined by dividing the balance of the Unaffiliated Member's Capital Account as of the commencement of such F
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
filiated Fund Percentages means a percentage established for each Unaffiliated Member on the Fund's books as of the first day of each Fiscal Period. The Unaffiliated Fund Percentage of an Unaffiliated Member shall be determined by dividing the balance of the Unaffiliated Member's Capital Account as of the commencement of such F
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Mutual Connections (126)
Entities connected to both The Ohio Division of Securities and The Unaffiliated Fund Percentage
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