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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
f this Agreement, the transferee shall succeed to the Capital Account of the transferor to the extent it relates to the transferred Interest. 5.4 Allocation of Net Profit and Net Loss. As of the last day of each Fiscal Period, any Net Profit or Net Loss for the Fiscal Period shall be allocated among and credited to or debited agai
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
f this Agreement, the transferee shall succeed to the Capital Account of the transferor to the extent it relates to the transferred Interest. 5.4 Allocation of Net Profit and Net Loss. As of the last day of each Fiscal Period, any Net Profit or Net Loss for the Fiscal Period shall be allocated among and credited to or debited agai
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
f this Agreement, the transferee shall succeed to the Capital Account of the transferor to the extent it relates to the transferred Interest. 5.4 Allocation of Net Profit and Net Loss. As of the last day of each Fiscal Period, any Net Profit or Net Loss for the Fiscal Period shall be allocated among and credited to or debited agai
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Mutual Connections (126)
Entities connected to both The Ohio Division of Securities and Allocation of Net Profit and Net Loss
Brought
ORGANIZATION7 w/ The·3 w/ Allocation
UBS Securities LLC
ORGANIZATION7 w/ The·3 w/ Allocation
the Financial Advisor's
ORGANIZATION5 w/ The·3 w/ Allocation
Parent Company
ORGANIZATION5 w/ The·3 w/ Allocation
Dept. of
ORGANIZATION5 w/ The·3 w/ Allocation
Lehman
ORGANIZATION5 w/ The·3 w/ Allocation
New Hampshire
LOCATION5 w/ The·3 w/ Allocation
Cease & Desist
ORGANIZATION5 w/ The·3 w/ Allocation
General State of NY
ORGANIZATION5 w/ The·3 w/ Allocation
Back Taxes Payment
ORGANIZATION5 w/ The·3 w/ Allocation
Swiss Federal Banking Commission
ORGANIZATION5 w/ The·3 w/ Allocation
Fannie Mae
ORGANIZATION5 w/ The·3 w/ Allocation
the Securities and Exchange Commission
ORGANIZATION5 w/ The·3 w/ Allocation
Department of Justice
ORGANIZATION5 w/ The·3 w/ Allocation
New York State
LOCATION5 w/ The·3 w/ Allocation
Internal Revenue Service
ORGANIZATION5 w/ The·3 w/ Allocation
UBS AG
ORGANIZATION5 w/ The·3 w/ Allocation
Federal Reserve
ORGANIZATION5 w/ The·3 w/ Allocation
UBS Fund
ORGANIZATION5 w/ The·3 w/ Allocation
Lehman Structured Products
ORGANIZATION5 w/ The·3 w/ Allocation