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more volatile, and sell expensively priced (i.e., rich implied volatility) options whose underlying ins
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
2 mentions1 same-page
Page ?Same page
more volatile, and sell expensively priced (i.e., rich implied volatility) options whose underlying ins
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
2 mentions1 same-page
Page ?Same page
more volatile, and sell expensively priced (i.e., rich implied volatility) options whose underlying ins
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
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Mutual Connections (130)
Entities connected to both Marc Rich and The Ohio Division of Securities
Ghislaine Maxwell
PERSON898 w/ Marc·4 w/ The
United States
LOCATION626 w/ Marc·4 w/ The
JPMorgan Chase
ORGANIZATION509 w/ Marc·3 w/ The
Samantha Power
PERSON417 w/ Marc·4 w/ The
New York
LOCATION348 w/ Marc·3 w/ The
Department of Justice
ORGANIZATION295 w/ Marc·5 w/ The
Paul Barrett
PERSON197 w/ Marc·2 w/ The
New Hampshire
LOCATION156 w/ Marc·5 w/ The
Tokyo
LOCATION80 w/ Marc·3 w/ The
New York State
LOCATION58 w/ Marc·5 w/ The
Federal Reserve
ORGANIZATION53 w/ Marc·5 w/ The
the Securities and Exchange Commission
ORGANIZATION45 w/ Marc·5 w/ The
UBS AG
ORGANIZATION44 w/ Marc·5 w/ The
Mohammed bin Salman
PERSON44 w/ Marc·3 w/ The
Wilmington
LOCATION36 w/ Marc·3 w/ The
Cayman
LOCATION33 w/ Marc·3 w/ The
Internal Revenue Service
ORGANIZATION23 w/ Marc·5 w/ The
Lehman
ORGANIZATION19 w/ Marc·5 w/ The
the State of New York
LOCATION21 w/ Marc·2 w/ The
England
LOCATION15 w/ Marc·3 w/ The