Back to Network
3
Shared Docs
3
Same-Page
6 / 3
Mentions
Document Mentions (3 shared documents)
4 mentions1 same-page
Page ?Same page
UBS UBS Financial Services Inc. Account Number Client Eligibility Certification: Initial Public Offerings of Equity Securities Account Title Ghislaine Maxwell As a distributor of initial public offerings (IPOs), UBS Financial Services Inc. (the Firm) is subject to regulatory requirements that prohibit the
and further agree to promptly notify the Firm, in writing, if any of the above information changes or becomes inaccurate or • ificrlirriplete . . Ghislaine First Name Last Name Maxwell AC-ID (Rev. 10/11) 0104012997 I Signature Date Pi I(MEM O2011 UBS Financial Services Inc All rights eserved. Me
s of Equity Securities Account Title Ghislaine Maxwell As a distributor of initial public offerings (IP
ational Market, or is a foreign issuer whose securities meet the quantitative designation criteria for listing on a national securities exchange or the NASDAQ National Market. AC-ID (Rev. 10/11) 6 Non-U.S. Mutual Funds. An investment company organized under the laws of a foreign jurisdiction provided that the investme
3 mentions1 same-page
Page ?Same page
SUBS UBS Financial Services Inc. Account Nurnoer Cicnt Fund Investment Application Cover Sheet ALPHAKEYS MILLENNIUM FUND LLC Fund Name Ghblaine Maxwell Account title Ghklalne Maxwell Client Name ACU6 Form ML2,31837 Control Number 102725 Appkation Id ECS-0155002191 III FCS-0155002191 For
LPHAKEYS MILLENNIUM FUND LLC Fund Name Ghblaine Maxwell Account title Ghklalne Maxwell Client Name AC
zed to engage n the pubic often.; of new issue either nesting gain mater a urderwrker) that is listed on a national securities adage. as traded on the NASDAQ National Market, ▪ it a foreign Muer vitae sonalies meet de quaint:atm amennation criteria for lifting on a national securities exchange or the NASDAQ (alone Mar
2 mentions1 same-page
Page ?Same page
y that he, she or it is both an accredited investor and a qualified purchaser in order to invest in the Fund, unless otherwise determined by UBSFA. MAXWELL Private and Confidential 2 CONFIDENTIAL UBSTERFtAMAR00001139 EFTA00236794 Instructions for Completing Investor Application (continued) D. Qu
in the pubic offenng of new issues either as a selling group member or underwriter that is listed on a national securities exchange, is traded on the NASDAQ National Market, or is a foreign issuer whose securities meet the quantitative designation criteria for listing on a national securities exchange or the NASDAQ Na
Sponsored
Mutual Connections (28)
Entities connected to both Ghislaine Maxwell and the NASDAQ National Market
George W. Bush
PERSON1,138 w/ Ghislaine·2 w/ the
Samantha Power
PERSON445 w/ Ghislaine·2 w/ the
the State of New York
LOCATION209 w/ Ghislaine·2 w/ the
UBS Online Services
ORGANIZATION62 w/ Ghislaine·2 w/ the
UBS Financial Advisor
ORGANIZATION26 w/ Ghislaine·2 w/ the
Keogh
ORGANIZATION18 w/ Ghislaine·2 w/ the
Limited Liability Company
ORGANIZATION11 w/ Ghislaine·2 w/ the
UBSFA
ORGANIZATION7 w/ Ghislaine·2 w/ the
UBS Alternative Investments US
ORGANIZATION5 w/ Ghislaine·2 w/ the
the U.S. Treasury Department
ORGANIZATION5 w/ Ghislaine·2 w/ the
Subscription Booklet
ORGANIZATION5 w/ Ghislaine·2 w/ the
the Fund Investment Application
ORGANIZATION5 w/ Ghislaine·2 w/ the
QuickCard
ORGANIZATION5 w/ Ghislaine·2 w/ the
the Memorandum
ORGANIZATION5 w/ Ghislaine·2 w/ the
Branch Managers
ORGANIZATION5 w/ Ghislaine·2 w/ the
Investment Banking Services
ORGANIZATION4 w/ Ghislaine·2 w/ the
the AlphaKeys Millennium Fund
ORGANIZATION4 w/ Ghislaine·2 w/ the
Delegate
ORGANIZATION4 w/ Ghislaine·2 w/ the
Non-Public Company
ORGANIZATION4 w/ Ghislaine·2 w/ the
n the Fund
ORGANIZATION3 w/ Ghislaine·2 w/ the