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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
to Section 4.1 hereof, in such person's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time
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
to Section 4.1 hereof, in such person's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time
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
to Section 4.1 hereof, in such person's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time
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Mutual Connections (126)
Entities connected to both The Ohio Division of Securities and Millennium Investment
Brought
ORGANIZATION7 w/ The·3 w/ Millennium
UBS Securities LLC
ORGANIZATION7 w/ The·3 w/ Millennium
the Financial Advisor's
ORGANIZATION5 w/ The·3 w/ Millennium
Parent Company
ORGANIZATION5 w/ The·3 w/ Millennium
Dept. of
ORGANIZATION5 w/ The·3 w/ Millennium
Lehman
ORGANIZATION5 w/ The·3 w/ Millennium
New Hampshire
LOCATION5 w/ The·3 w/ Millennium
Cease & Desist
ORGANIZATION5 w/ The·3 w/ Millennium
General State of NY
ORGANIZATION5 w/ The·3 w/ Millennium
Back Taxes Payment
ORGANIZATION5 w/ The·3 w/ Millennium
Swiss Federal Banking Commission
ORGANIZATION5 w/ The·3 w/ Millennium
Fannie Mae
ORGANIZATION5 w/ The·3 w/ Millennium
the Securities and Exchange Commission
ORGANIZATION5 w/ The·3 w/ Millennium
Department of Justice
ORGANIZATION5 w/ The·3 w/ Millennium
New York State
LOCATION5 w/ The·3 w/ Millennium
Internal Revenue Service
ORGANIZATION5 w/ The·3 w/ Millennium
UBS AG
ORGANIZATION5 w/ The·3 w/ Millennium
Federal Reserve
ORGANIZATION5 w/ The·3 w/ Millennium
UBS Fund
ORGANIZATION5 w/ The·3 w/ Millennium
Lehman Structured Products
ORGANIZATION5 w/ The·3 w/ Millennium