Search for: "Edwards Brothers, Inc." Results 1 - 20 of 135
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4 May 2018, 7:19 am by Silver Law Group
He was previously registered with Lehman Brothers, Inc., from 10/2004 through 9/2008. [read post]
4 Jun 2009, 4:34 pm
According to New Hampshire securities regulators, UBS Financial Services Inc., a unit of UBS AG, misled investors regarding complex securities that were issued by Lehman Brothers before the latter filed for bankruptcy protection in 2008. [read post]
18 Nov 2022, 9:37 am by The White Law Group
MORGAN SECURITIES LLC (CRD#:79), SAN FRANCISCO, CA,    B, 04/03/1995 – 12/06/2005, LEHMAN BROTHERS INC. [read post]
19 Oct 2011, 6:28 pm
Once again, former Lehman Brothers Holdings Inc. executives want an insurance fund to cover their expenses stemming from securities-related misconduct they are accused of committing. [read post]
21 Jul 2008, 3:05 pm
The Securities and Exchange Commission has subpoenaed over 50 hedge fund advisors, including SAC Capital Advisors, Goldman Sachs Group Inc., and Citadel Investment Group, as part of its probe into whether rumors affected the shares of Bear Stearns and Lehman Brothers. [read post]
26 Jun 2012, 3:08 pm
Kaplan has approved a $40 million class action settlement in the residential mortgage-backed securities lawsuit against three individuals who used to be affiliated with Lehman Brothers Holdings Inc. [read post]
9 Dec 2009, 3:19 pm
In an arbitration case that could affect numerous cases that are still pending, a Financial Industry Regulation Authority panel awarded a small investor $200,000 after finding that a UBS Financial Services broker acted inappropriately when he sold high-risk Lehman Brothers Holdings Inc. principal-protected notes to the claimant. [read post]
3 May 2009, 7:59 pm
" The defendants convicted include former Citigroup/Smith Barney and Merrill Lynch broker Kenneth Mahaffy, former Lehman Brothers employee David Ghysels Jr., former Merrill broker Timothy O'Connell, former AB Watley Group Inc. president and vice chairman Robert F. [read post]
22 Apr 2014, 10:30 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Edward Dulin, a broker currently working at Bank of America Corp’s Merrill Lynch unit, alleged his ex-employer UBS AG misled its advisors about the financial health of Lehman Brothers Holdings Inc. [read post]
29 Dec 2006, 10:44 am
Edwards & Sons, Inc. are acting as co-managers of the offering. [read post]
31 Oct 2011, 3:42 am by Laura Sandwell
Perpetual Trustee Company Limited v BNY Corporate Trustee Services Limited and Lehman Brothers Special Financing Inc; and Belmont Park Investments PTY Limited v BNY Corporate Trustee Services Limited and Lehman Brothers Special Financing Inc, heard 1 – 3 March 2011. [read post]