Search for: "UBS Securities LLC"
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2 May 2024, 12:35 pm
He was affiliated with firms like RBC Capital Markets, UBS Financial Services Inc., and Citigroup Global Markets Inc. [read post]
19 Apr 2024, 2:04 pm
Morgan Securities LLC Wells Fargo Clearing Services, LLC John Kersey Northwestern Mutual Investment Services, LLC Robert W. [read post]
19 Apr 2024, 1:23 pm
David Morris Stifel, Nicolaus & Company UBS Financial Services Inc. [read post]
20 Mar 2024, 10:29 am
UBS Securities, LLC, et al. [read post]
14 Mar 2024, 3:00 am
UBS Securities, LLC , in which the Court overturned a 2nd Circuit decision and held that “Sarbanes-Oxley does not include a retaliatory intent element, and that such requirement would be inconsistent with the statute’s burden-shifting framework. [read post]
4 Mar 2024, 9:01 pm
UBS Securities, LLC underscores the protections enjoyed by employees who report suspected fraud or securities violations and the risks companies face in taking action against such whistleblowers. [read post]
4 Mar 2024, 2:30 am
In siding with the whistleblower, Trevor Murray, the Court rejected UBS Securities, LLC’s position that a finding of retaliatory intent is required for whistleblower protection under SOX, which governs corporate financial reporting and recordkeeping. [read post]
29 Feb 2024, 2:01 pm
UBS Securities, LLC, et al. 601 U. [read post]
27 Feb 2024, 8:46 am
UBS Securities, LLC, 144 S.Ct. 445 (2024). [read post]
26 Feb 2024, 1:35 pm
UBS Securities LLC, No. 22-660, which addressed the proper framework for establishing a whistleblower claim under the Sarbanes-Oxley Act of 2002 (SOX). [read post]
22 Feb 2024, 9:06 am
UBS Terminates Murray for Blowing the Whistle Murray was a research strategist in UBS’s commercial mortgage-backed securities (CMBS) division. [read post]
20 Feb 2024, 2:09 pm
UBS Securities, LLC, 601 U. [read post]
15 Feb 2024, 10:17 am
UBS Securities, LLC, et al. 601 U. [read post]
14 Feb 2024, 10:00 pm
UBS Securities LLC that whistleblowers under the Sarbanes-Oxley Act (SOX) need not prove retaliatory intent. [read post]
14 Feb 2024, 10:00 pm
UBS Securities LLC that whistleblowers under the Sarbanes-Oxley Act (SOX) need not prove retaliatory intent. [read post]
14 Feb 2024, 10:00 pm
UBS Securities LLC that whistleblowers under the Sarbanes-Oxley Act (SOX) need not prove retaliatory intent. [read post]
14 Feb 2024, 10:00 pm
UBS Securities LLC that whistleblowers under the Sarbanes-Oxley Act (SOX) need not prove retaliatory intent. [read post]
14 Feb 2024, 10:00 pm
UBS Securities LLC that whistleblowers under the Sarbanes-Oxley Act (SOX) need not prove retaliatory intent. [read post]
14 Feb 2024, 10:00 pm
UBS Securities LLC that whistleblowers under the Sarbanes-Oxley Act (SOX) need not prove retaliatory intent. [read post]
12 Feb 2024, 6:37 am
UBS Securities, LLC, February 8, 2024, Sotomayor, S.).Background. [read post]
