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The Ohio Division of Securities
Organization
7
Total Mentions
7
Documents
138
Connected Entities
Organization referenced in documents
Document Mentions (7)
EFTA00236788.pdf
1 mentionEFTA00236788
ation 60 (11 NYCRR 51.5). 10. 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 cerson license. ML281837-MAXWELL Page 3 of 4 CONFIDENTIAL
EFTA01374029.pdf
1 mentionEFTA01374029
ulation 60 (11 NYCRR 51.5). 9. Date of Action: May 12.2000 Entity: Individual Financial Advisor Brought By: Ohio Division ol Securities Details: The Ohio Division of Securities issued a final order to deny the Finaecal Advisor's application fo' a securities sales person license. JO. Date of Action: February 2, 7010 Entit
EFTA01386101.pdf
1 mentionEFTA01386101
ulation 60 (11 NYCRR 51.5). 9. Date of Action: May 12.2000 Entity: Individual Financial Advisor Brought By: Ohio Division ol Securities Details: The Ohio Division of Securities issued a final order to deny the Finaecal Advisor's application fo' a securities sales person license. JO. Date of Action: February 2, 7010 Entit
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EFTA00237405.pdf
1 mentionEFTA00237405_sub_004 - EFTA00237405_315
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. ER30 378-MAXWELL Page 3 of 4 CONFIDENTIAL
EFTA00239188.pdf
1 mentionEFTA00239188_sub_003 - EFTA00239188_269
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
EFTA00237816.pdf
1 mentionEFTA00237816_sub_003 - EFTA00237816_258
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
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EFTA00236853.pdf
1 mentionEFTA00236853_sub_003 - EFTA00236853_258
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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Connected Entities(20 of 138)
Brought
OrganizationOrganization referenced in documents
7 docs7 co-mentions
UBS Securities LLC
OrganizationOrganization referenced in documents
7 docs7 co-mentions
Fannie Mae
OrganizationGovernment-backed financial services company
5 docs5 co-mentions
New Hampshire
LocationState of the United States of America
5 docs5 co-mentions
the Financial Advisor's
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Parent Company
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Dept. of
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Back Taxes Payment
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Swiss Federal Banking Commission
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Lehman
OrganizationCollege in The Bronx, New York; part of the City University of New York (CUNY) system
5 docs5 co-mentions
Massachusetts Securities Division
OrganizationOrganization referenced in documents
5 docs5 co-mentions
the North American Securities Administrators Association
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Civil Penalty
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Cease & Desist
OrganizationOrganization referenced in documents
5 docs5 co-mentions
General State of NY
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Federal Reserve
OrganizationFederal Reserve System, central banking system of the United States
5 docs5 co-mentions
the Securities and Exchange Commission
OrganizationU.S. Securities and Exchange Commission
5 docs5 co-mentions
Department of Justice
OrganizationUnited States Department of Justice, federal executive department responsible for law enforcement
5 docs5 co-mentions
New York State
LocationState in the northeastern United States
5 docs5 co-mentions
Internal Revenue Service
OrganizationU.S. federal tax collection agency
5 docs5 co-mentions