Search for: "UBS SECURITIES LLC"
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21 Nov 2022, 9:02 am
Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. [read post]
7 Nov 2022, 5:35 am
” In a recent regulatory action, Finra, the federal securities industry regulator, announced that it has fined UBS Securities LLC (UBS) $2.5 million for violating Regulation SHO (Reg SHO) governing naked shorts for “violations and supervisory failures spanning a period of nine years. [read post]
10 Oct 2022, 1:07 pm
Badii is currently employed by Independent Financial Group, LLC (Independent Financial). [read post]
7 Oct 2022, 12:37 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]
6 Oct 2022, 7:32 am
UBS Sanctioned for Reg SHO Violations and Supervisory Failures According to a press announcement this week, the Financial Industry Regulatory Authority (FINRA) has reportedly fined UBS Securities LLC (UBS) $2.5 million for Regulation SHO violations and supervisory failures spanning a period of nine years. [read post]
28 Sep 2022, 12:37 pm
LLC and Morgan Stanley Smith Barney LLC; UBS Securities LLC and UBS Financial Services Inc. [read post]
28 Sep 2022, 8:06 am
LLC together with Morgan Stanley Smith Barney LLC; andUBS Securities LLC together with UBS Financial Services Inc.The following two firms have agreed to pay penalties of $50 million each:Jefferies LLC; andNomura Securities International, Inc.Cantor Fitzgerald & Co. has agreed to pay a $10 million penalty. [read post]
18 Sep 2022, 2:28 pm
UBS Securities LLC. [read post]
8 Sep 2022, 5:00 pm
UBS Securities LLC, the plaintiff Trevor Murray was hired back in 2011 to perform research and generate reports for UBS’s commercial mortgage-backed securities business. [read post]
2 Sep 2022, 5:42 am
The trial of the matter involved a former employee of UBS Securities, LLC and UBS AG (UBS) who was required by the Securities and Exchange Commission (SEC) to certify that his reports were produced independently and that they accurately reflected his views. [read post]
28 Aug 2022, 9:45 am
From February 2002 through October 2004, Serizawa was registered with Wachovia Securities, LLC. [read post]
19 Aug 2022, 9:37 am
Arive Capital Markets Robert Haas Wells Fargo Clearing Services, LLC Wells Fargo Advisors, LLC Christopher Johnson Morgan Stanley UBS Financial Services Inc. [read post]
19 Aug 2022, 8:54 am
Pruco Securities, LLC Ann Montgomery LPL Financial LLC National Planning Corporation Sean Winkler Vanguard Marketing Corporation FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
18 Aug 2022, 9:01 pm
UBS Securities LLC, No. 20-4202 (2d Cir.). [read post]
8 Aug 2022, 7:40 am
UBS Securities, LLC, August 5, 2022, Park, M.).The employee was a commercial mortgage-backed security strategist and executive director at UBS Securities. [read post]
8 Aug 2022, 6:34 am
UBS Securities, LLC, issued on August 5. [read post]
8 Aug 2022, 4:02 am
UBS Securities, LLC, UBS AG, Defendants/Appelants/Cross-Appellees (2Cir Opinion)Weymouth Man Pleads Guilty to Market Manipulation Conspiracy / Defendant conspired with manipulative stock traders in China and United States (DOJ Release)Los Angeles Man Pleads Guilty to Insider Trading Conspiracy (DOJ Release)CFTC Charges Nevada Metals Trader with Spoofing in Gold and Silver Markets (CFTC Release)Digital Signatures / FINRA Reminds Firms of Their Obligation to… [read post]
28 Jul 2022, 9:51 am
Morgan Securities LLC, UBS Financial Services Inc., and TradeStation Securities, Inc. for deficiencies in their programs to prevent customer identity theft, in violation of the SEC’s Identity Theft Red Flags Rule, or Regulation S-ID. [read post]
27 Jul 2022, 1:35 pm
Morgan Securities LLC, UBS Financial Services Inc., and TradeStation Securities, Inc. for deficiencies in their programs to prevent customer identity theft, in violation of the SEC’s…Read the Full Press ReleaseHave a securities law question? [read post]
26 Jul 2022, 12:09 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 Seattle, Washington. [read post]
