{"hits":{"total":1,"hits":[{"_type":"_doc","_source":{"iacontent":"{\"basicInformation\": {\"individualId\": 1072360, \"firstName\": \"HAROLD\", \"middleName\": \"DAVID\", \"lastName\": \"ELISH\", \"otherNames\": [], \"bcScope\": \"Active\", \"iaScope\": \"Active\", \"daysInIndustryCalculatedDateIAPD\": \"10/21/1982\"}, \"currentEmployments\": [{\"firmId\": 8174, \"firmName\": \"UBS FINANCIAL SERVICES INC.\", \"iaOnly\": \"N\", \"registrationBeginDate\": \"5/5/2006\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"7163\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"16267\", \"branchOfficeLocations\": [{\"displayOrder\": 1, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"N\", \"branchOfficeId\": \"722272\", \"street1\": \"1285 Avenue of the Americas\", \"street2\": \"Floor 15 thru  18\", \"city\": \"New York\", \"cityAlias\": [\"MANHATTAN\", \"NEW YORK\", \"NEW YORK CITY\", \"NY\", \"NY CITY\", \"NYC\"], \"state\": \"NY\", \"country\": \"United States\", \"zipCode\": \"10019\", \"latitude\": \"40.767192\", \"longitude\": \"-73.99181\", \"geoLocation\": \"40.767192,-73.99181\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"03/04/2020\"}]}], \"currentIAEmployments\": [{\"firmId\": 8174, \"firmName\": \"UBS FINANCIAL SERVICES INC.\", \"iaOnly\": \"Y\", \"registrationBeginDate\": \"9/22/2006\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"7163\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"16267\", \"branchOfficeLocations\": [{\"displayOrder\": 1, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"N\", \"branchOfficeId\": \"722272\", \"street1\": \"1285 Avenue of the Americas\", \"street2\": \"Floor 15 thru  18\", \"city\": \"New York\", \"cityAlias\": [\"MANHATTAN\", \"NEW YORK\", \"NEW YORK CITY\", \"NY\", \"NY CITY\", \"NYC\"], \"state\": \"NY\", \"country\": \"United States\", \"zipCode\": \"10019\", \"latitude\": \"40.767192\", \"longitude\": \"-73.99181\", \"geoLocation\": \"40.767192,-73.99181\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"03/04/2020\"}]}], \"previousEmployments\": [{\"iaOnly\": \"N\", \"iaSECNumber\": \"3387\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"8177\", \"firmId\": 7059, \"firmName\": \"CITIGROUP GLOBAL MARKETS INC.\", \"city\": \"NEW YORK\", \"state\": \"NY\", \"registrationBeginDate\": \"7/31/1993\", \"registrationEndDate\": \"5/18/2006\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\"}, {\"iaOnly\": \"N\", \"bdSECNumber\": \"12324\", \"firmId\": 7506, \"firmName\": \"LEHMAN BROTHERS INC.\", \"city\": \"NEW YORK\", \"state\": \"NY\", \"country\": \"UNITED STATES\", \"registrationBeginDate\": \"10/22/1982\", \"registrationEndDate\": \"7/31/1993\", \"firmBCScope\": \"INACTIVE\", \"firmIAScope\": \"NOTINSCOPE\"}], \"previousIAEmployments\": [], \"disclosureFlag\": \"Y\", \"iaDisclosureFlag\": \"Y\", \"disclosures\": [{\"eventDate\": \"7/29/2025\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Denied\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"Time Frame: July 1st, 2020 to April 1st, 2025\\n\\nWhat were the allegations against the individual?  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To the contrary, she called our attention to the fact that her managed account had balances that were not invested in a higher yielding money market fund and requested a management fee discount to account for the lost interest. We are of the opinion that this complaint has no merit and the complaint has been denied.\"]}}, {\"eventDate\": \"10/9/1985\", \"disclosureType\": \"Regulatory\", \"disclosureResolution\": \"Final\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"DocketNumberFDA\": \"85-49\", \"DocketNumberAAO\": \"85-49\", \"Initiated By\": \"COMMODITY FUTURES TRADE COMMISSION\", \"Resolution\": \"Decision\", \"SanctionDetails\": [{\"Sanctions\": \"Cease and Desist/Injunction\"}], \"Broker Comment\": [\"IN AN EFFORT TO BECOME SERIES 3 REGISTERED I TOOK AND PASSED THE APPROPRIATE EXAM AND SUBMITTED THE APPROPRIATE PAPERWORK.  UNFORTUNATELY, BECAUSE OF AN ADMINISTRATIVE ERROR, MY APPLICATION WAS NOT PROCESSED.  I WAS NEVER ADVISED OF THE PROBLEM AND WAS PERMITTED TO TRANSACT FUTURES BUSINESS FOR MY CLIENTS.  WHEN THE ERROR WAS DISCOVERED THE AFOREMENTIONED SETTLEMENT WAS REACHED.  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