Search for: "UBS SECURITIES LLC"
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17 Feb 2020, 6:48 am
He then worked for Credit Suisse Securities (USA) LLC (CRD# 816) before joining UBS (CRD# 8174) in 2015. [read post]
30 Jul 2008, 9:05 pm
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
7 May 2012, 2:07 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
7 Nov 2011, 4:48 am
According to FINRA, the bank’s UBS Securities LLC broker-dealer unit allowed short-sale orders to be mislabeled or filled without checking to see if the sellers could even produce the underlying securities. [read post]
17 Jun 2022, 6:00 am
We have secured significant recoveries for our clients, and we are continuing to vigorously pursue claims against UBS for fraud. [read post]
11 Jun 2008, 11:33 am
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
3 Mar 2011, 9:14 am
Kobayashi, a financial advisor working in the Walnut Creek, California, office of UBS Financial Services LLC. [read post]
25 Jun 2008, 2:45 pm
One of Connecticut’s wealthiest families has recently brought an attachment suit against UBS AG, UBS Securities, LLC and UBS Financial Services, Inc. in an effort to require UBS to set aside $150 million to cover a potential reward in an ongoing FINRA arbitration concerning auction rate securities “ARS”). [read post]
25 Jun 2008, 2:45 pm
One of Connecticut’s wealthiest families has recently brought an attachment suit against UBS AG, UBS Securities, LLC and UBS Financial Services, Inc. in an effort to require UBS to set aside $150 million to cover a potential reward in an ongoing FINRA arbitration concerning auction rate securities “ARS”). [read post]
3 Jun 2020, 12:28 pm
The post UBS Pulls ETRACS Exchange-Traded Note (ETN) Off Market as Value Plunges to Near Zero appeared first on Zamansky LLC. [read post]
25 Jul 2008, 7:18 pm
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
7 Jun 2012, 10:59 am
District Court for the District of Connecticut has decided not to grant summary judgment to UBS AG (UBS) and UBS Securities LLC in Mary Barker’s lawsuit claiming that her firing violated the whistleblower provision of the Sarbanes-Oxley Act. [read post]
22 Aug 2018, 3:58 am
UBS Securities LLC, Plaintiff/Appellee, v. [read post]
27 Nov 2017, 10:13 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
11 Jul 2008, 7:39 pm
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
8 Feb 2022, 11:42 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle Washington. [read post]
27 Nov 2017, 10:31 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
1 May 2015, 8:25 am
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
12 Mar 2007, 7:06 am
In the UBS scheme, UBS Securities LLC executive Mitchel Guttenberg is accused of selling non-public material on upcoming downgrades and upgrades in securities recommendations that were made by UBS analysts for hundreds of thousands of dollars to Erik Franklin and David Tavdy, two Wall Street traders. [read post]
10 Oct 2019, 1:05 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
