Search for: "UBS Securities LLC "
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18 Jan 2016, 7:09 am
From October 1999 until March 2009, Slater was associated with Wachovia Securities, LLC. [read post]
14 Dec 2015, 1:00 am
UBS AG v Commissioners for Her Majesty’s Revenue and Customs, heard 3 December 2015. [read post]
9 Dec 2015, 6:50 am
The rumblings began shortly after the industry First Amendment victory over the FDA in Amarin Pharma, Inc. v. [read post]
3 Dec 2015, 7:45 am
From July 2003 through July 2008, Wuhl was a registered representative of Wachovia Securities, LLC. [read post]
25 Nov 2015, 8:15 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]
Two UBS Advisory Firms Settle Charges Arising From Failure to Disclose Change in Investment Strategy
3 Nov 2015, 6:16 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The Securities and Exchange Commission announced that two UBS advisory firms agreed to settle charges relating to their failing to disclose a change in investment objective of a close-end fund, UBS Willow Fund LLC, which they advised. [read post]
29 Oct 2015, 7:07 am
The inappropriate sales and marketing of Puerto Rico bonds is not limited to UBS. [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]
26 Oct 2015, 8:05 am
Two UBS Advisory Firms Settle Charges Arising From Failure to Disclose Change in Investment StrategyTwo UBS advisory firms have agreed to settle charges arising from their roles in failing to disclose a change in investment strategy by UBS Willow Fund LLC, a closed-end fund they advised. [read post]
16 Oct 2015, 2:34 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 Vero Beach, Florida. [read post]
16 Oct 2015, 2:21 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 Vero Beach, Florida. [read post]
16 Oct 2015, 5:53 am
., a former broker in UBS’s Guaynabo branch in Puerto Rico, persuaded investors to use funds from lines of credit with UBS Bank USA to purchase additional shares in UBS closed-end funds profiting at least $2.8 million.UBS will pay the SEC $15 million plus interest, $7.5 million in fines to FINRA and $11 million in restitution to 165 of the UBS customers who suffered losses in closed-end fund positions.It has been suggested by the SEC’s director of… [read post]
2 Oct 2015, 2:15 pm
– $100,000 PNC Capital Markets LLC – $500,000 Prager & Co., LLC – $100,000 Ross, Sinclaire & Associates, LLC – $220,000 UBS Financial Services, Inc. [read post]
29 Sep 2015, 2:47 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 Vero Beach, Florida. [read post]
11 Sep 2015, 9:50 am
UBS Secs., LLC, No. 12 Civ. 5914(JMF), 2013 WL 2190084, at *3–7 (S.D.N.Y. [read post]
8 Sep 2015, 8:07 am
In another blog post, Malecki Law cited fines against Citigroup Global Markets, Inc., Morgan Stanley & Co, LLC, UBS Financial Services, and Wells Fargo Advisors, LLC for permitting recommendations of inverse and leveraged ETFs without proper supervision. [read post]
6 Sep 2015, 7:30 am
By Shipkevich Law Firm.Last Updated: August 8, 2014 - Rank this Week: 486 http://www.cftclaw.com/Securities Law Blog [Feed] Features news, commentary and thoughts on the law of the securities markets. [read post]
2 Sep 2015, 1:59 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 Vero Beach, Florida. [read post]
27 Aug 2015, 5:01 am
UBS Securities, LLC, 770 F.3d 1010 (2d Cir. 2014), where it wasn’t just the removing defendant claiming substantiality, but also the relevant government agency. [read post]
6 Aug 2015, 1:59 pm
UBS Secs., LLC, No. 12 Civ. 5914(JMF), 2013 WL 2190084, at *3–7 (S.D.N.Y. [read post]
