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8 Sep 2022, 5:00 pm
(The decision overturned a nearly seven figure award which had been granted to a former UBS AG Group employee.)In Murray v. [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 August 1997 through February 2002, Serizawa was registered with UBS Painewebber Incorporated. [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 Supervise for… [read post]
29 Jul 2022, 10:15 am
Casto’s article Foreign Affairs and the Constitution in the Age of Fighting Sail is cited in the following article: Homer A. [read post]
28 Mar 2022, 6:40 pm
In the same year, she “mailed packets of her whistleblower complaint to Congress, the AG, and FBI Director Robert Mueller requesting assistance and a meeting to discuss the information she had mailed. [read post]
27 Jan 2022, 2:20 pm
Nino, aged 56, has one disclosure on his record. [read post]
19 Jan 2022, 1:21 pm
Swiss Life Holding AG. [read post]
19 Jan 2022, 1:21 pm
Swiss Life Holding AG. [read post]
6 Jan 2022, 1:22 pm
As if that were not enough, on December 30, 2021, New York (New York County) Supreme Court Judge Jennifer Schecter granted the motion to dismiss in the derivative action filed in the New York court against the board of UBS AG Group, a Swiss corporation. [read post]
2 Nov 2021, 8:49 am
ARGENTINA On 12 September 2021, President Alberto Fernández’s Justicialist party suffered significant losses in Argentina’s midterm primaries. [read post]
14 Oct 2021, 10:39 am
Read More The post CFTC Sanctions UBS AG $500,000 For Failing to Retain Certain Required Audio Recordings appeared first on CFTC Law. [read post]
8 Oct 2021, 1:10 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6106/securities-industry-commentator/FINRA, FinCen, Networks, Authorities, Priorities, Statements, Guidance, AML, CFT, BSA, and NBFI (BrokeAndBroker.com Blog)CFTC Sanctions UBS AG $500,000 For Failing to Retain Certain Required Audio Recordings (CFTC Release)Stock Promoters Plead Guilty to "Pump and Dump" Securities Fraud… [read post]
20 Sep 2021, 12:35 pm
., UBS Group AG and HSBC Holdings PLC are among several firms that hold large stakes in Evergrande’s debt. [read post]
17 Sep 2021, 11:50 am
They must ensure that each investment recommendation that is made is suitable for the investor in light of the investor’s age, risk tolerance, net worth, financial needs, and investment experience. [read post]
20 Jul 2021, 6:17 am
UBS hit with $8 Million for Unsuitable Sales of VXX Fund According to the US Securities and Exchange Commission on July 19, the regulator has charged the brokerage arm of UBS Group AG (UBSG.S) with regulatory failures in connection with the sales of a volatility-linked, exchange-traded product, called the iPath S&P 500 VIX Short-Term Futures ETN. [read post]
9 Jun 2021, 6:00 am
Trevor Kitchen was born in the United Kingdom (UK), but currently, at 70 years of age, resides on the Portuguese island of Madeira. [read post]
19 May 2021, 8:34 am
Targeting investors in particular groups—such as those who are aging or for whom English is a second language—is referred to as affinity fraud. [read post]
18 May 2021, 9:00 am
Swiss Life Holding AG, Swiss Life (Liechtenstein) AG, Swiss Life (Singapore) Pte. and Swiss Life (Luxembourg) SA admitted to conspiring with U.S. taxpayers to conceal from the U.S. [read post]
10 Apr 2021, 9:51 am
From 1992 through 2009, Greenstone was registered with UBS Financial Services, Inc. [read post]
