Search for: "UBS Financial Services Inc " Results 281 - 300 of 590
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19 Jul 2008, 2:48 pm
The Boston Globe has reported that, in addition to UBS Financial Services, other major Wall Street firms expected the failure of the auction-rate securities markets prior to the collapse in February of this year, yet failed to warn investors of the impending disaster. [read post]
3 Feb 2017, 6:31 am by Adam Weinstein
  From September 2010 until October 2016 Fagenson was associated with UBS Financial Services Inc. [read post]
22 Oct 2019, 10:26 am by Silver Law Group
According to FINRA Disciplinary actions for August 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:   NAME FORMER EMPLOYERS   Carolyn Andrews   UBS Financial Services   Morgan Keegan & Company   Meiewyn Avent   Alliance-One Investments   Metlife… [read post]
16 Sep 2009, 8:07 pm
UBS employees marketed the CDOs to Pursuit while they were communicating with Moody's Investors Services Inc. [read post]
1 Apr 2008, 9:14 am
Massachusetts Secretary of the Commonwealth William Galvin is subpoenaing Merrill Lynch, Pierce, Fenner, & Smith Inc., UBS Securities, and Bank of America Investments because it wants information about the companies' involvement in selling auction-rate market securities to retail investors. [read post]
19 Apr 2024, 2:04 pm by Silver Law Group
According to FINRA Disciplinary actions for April 2024, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Vinessa Christian UBS Financial Services Inc. [read post]
12 May 2023, 1:10 pm by Silver Law Group
His previous employers include Echotrade LLC (CRD# 42239) of Phoenix, AZ, and UBS Financial Services Inc. [read post]
19 Aug 2022, 8:54 am by Silver Law Group
According to FINRA Disciplinary actions for Aug 2022, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Teresa Gomez   UBS Financial Services Inc. [read post]
18 Feb 2016, 5:51 am by Adam Weinstein
Since September 2007 Carlton has been registered with UBS Financial Services Inc. out of the firm’s Vienna, Virginia office locations. [read post]
7 Oct 2009, 2:50 pm by Patrick Hindert
Morbach previously worked as Vice President-Investments at UBS Financial Services Inc. [read post]
28 Dec 2009, 11:42 am by LindaMBeale
Aug. 14, 2009) and here (Textron's SILOs and its tax accrual workpapers: First Circuit Sides with the Service, Aug. 13, 2009) and on the District Court case here (Textron, Inc.: Tax Accrual Workpapers, Attorney-Client Privilege, and Work Product Protection, Aug. 30, 2007). [read post]
2 Nov 2023, 6:55 am by Silver Law Group
His previous employers include Wells Fargo Advisors, LLC (CRD# 19616) of Hallandale, FL, UBS Financial Services Inc. [read post]