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7 Aug 2017, 8:45 am
UBS Securities LLC Fined and Censured According to FINRA, on May 15, 2017, UBS Securities LLC (CRD #7654, New York, New York) was issued an AWC in which the firm was censured and fined $50,000. [read post]
16 Jun 2022, 2:18 pm
The post Zamansky LLC Investigates Former UBS Financial Advisor Paul Koch of Wayzata, MN appeared first on Zamansky LLC. [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]
17 Sep 2021, 11:19 am
The post Zamansky LLC Wins $358,000 Arbitration Award for UBS YES Strategy Investor appeared first on Zamansky LLC. [read post]
8 Feb 2024, 10:12 am
UBS Securities, LLC. [read post]
25 Oct 2011, 12:48 pm
FINRA announced that it fined UBS Securities LLC $12 million for violating Regulation SHO (Reg SHO) and failing to properly supervise short sales of securities. [read post]
10 Nov 2011, 1:06 pm
The SEC charged UBS Securities LLC for inaccurate recording practices when providing and recording “locates” to customers seeking to execute short sales. [read post]
3 Nov 2011, 11:46 am
The Financial Industry Regulatory Authority (FINRA) has fined UBS Securities LLC $12 million for violation of Regulation SHO and its failure to adequately supervise its brokers regarding short sale transactions. [read post]
29 Jun 2021, 3:57 am
UBS To Let Two-Thirds Of Employees Adopt Permanent Hybrid Work: The move by UBS is in stark contrast with many of its U.S. rivals that are calling most workers back to the office.The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
25 Mar 2020, 3:37 pm
Zamansky LLC is investigating UBS Financial Services Inc. [read post]
8 Jul 2008, 1:49 pm
In the Matter of UBS Securities, LLC and UBS Financial Services, Inc., Docket No. 2008-0045 (Mass. [read post]
28 Oct 2015, 2:21 pm
The Securities and Exchange Commission recently announced that UBS Willow Management LLC and UBS Fund Advisor LLC agreed to pay $17.5 million to settle charges for their roles in failing to disclose investment strategy changes in the UBS Willow Fund, LLC. [read post]
25 Jul 2008, 2:47 pm
The New York Attorney General filed a civil complaint yesterday against UBS Securities LLC and UBS Financial Services, Inc. alleging that UBS "committed a multi-billion dollar consumer and securities fraud on the investing public by falsely selling securities facing mounting liquidity risk as cash equivalents. [read post]
29 Feb 2016, 7:36 am
On February 25, the National Credit Union Administration Board (“NCUA”) accepted an offer of judgment tendered by UBS Securities LLC (“UBS”) in the amount of $33,014,285 plus prejudgment interest, which will be calculated by the court. [read post]
21 Apr 2023, 6:20 am
The post Zamansky LLC Investigates Potential Investment Fraud Claims Against Former UBS and Stifel Nicolaus Financial Advisor Robert Earl Turner Jr. appeared first on Zamansky LLC. [read post]
13 Mar 2007, 11:08 pm
(a unit of Credit Suisse Group) and UBS Securities LLC to pay fines for a number of securities violations. [read post]
18 Dec 2020, 10:15 am
The post UBS YES Strategy Investment Losses appeared first on Zamansky LLC. [read post]
3 Feb 2009, 2:48 pm
Pretty soon we are going to need a scorecard - Wachovia Securities LLC and UBS Financial Services Inc. of New Yorkhave engaged in preliminary talks about a joint venture for theirretail-brokerage units, according to a report in today's New York Post. [read post]
22 Nov 2019, 11:31 am
We are offering FON Members an exclusive opportunity for a free private consultation (in person or by phone) with renowned securities attorney Jake Zamansky to discuss recovering your UBS-YES losses. [read post]
11 Nov 2011, 11:04 am
The SEC charged UBS Securities, LLC for inaccurate recording practices when providing and recording “locates” to customers seeking to execute short sales. [read post]
