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26 Feb 2016, 7:58 am
UBS AG v Commissioners for Her Majesty’s Revenue and Customs, heard 3 December 2015. [read post]
12 Dec 2011, 8:12 am
. * UBS * U.S. [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended 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 Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors Capital Diehlman,… [read post]
29 Jan 2016, 7:30 am
UBS AG v Commissioners for Her Majesty’s Revenue and Customs, heard 3 December 2015. [read post]
23 Apr 2008, 2:28 pm
Those banks included UBS, Merrill Lynch, Goldman Sachs, Citigroup, Raymond James Financial, First Albany, Wachovia Corp., Morgan Keegan, Piper Jaffray, AG Edwards, Deusche Bank, TD Ameritrade, Lehman Brothers Holdings, RBC Dain Rauscher, Bank of America, JPMorgan Chase, Morgan Stanley and E*Trade Financial. [read post]
8 Dec 2011, 8:02 pm
., UBS AG, and JPMorgan Chase & Co. [read post]
15 Oct 2008, 10:30 pm
In fact, all of the well-known brokerage firms such as Merrill Lynch, Morgan Stanley, UBS, etc. have internal asset allocation models that should be used as a guideline by their brokers. [read post]
13 Jan 2010, 8:14 pm
UBS Warburg LLC, 217 F.R.D. 309 (S.D.N.Y.2003); Rowe Entertainment, Inc. v. [read post]
22 Feb 2016, 1:00 am
UBS AG v Commissioners for Her Majesty’s Revenue and Customs, heard 3 December 2015. [read post]
25 May 2012, 8:57 am
That was when the UBS AG of Switzerland, one of the largest banks in the world, gave the green light to its administrators to hand over the names of thousands of its American clients who held bank accounts they'd been keeping secret. [read post]
29 Jul 2011, 11:00 am
Closius resigns as UB Law dean – by Danny Jacobs Phillip J. [read post]
22 May 2007, 12:19 am
Rahim bought, through UBS AG London, 6,700 TXU call option contracts that had March 2007 expiration dates. [read post]
10 Dec 2009, 1:40 am
For example, it was found that the counterparty to certain transactions was not UBS AG as earlier reported by Barclays, but it was Hythe Securities Limited.Second, Reg. 15A of the SEBI FII Regulations provides that ODIs can be issued only to “persons who are regulated by an appropriate foreign regulatory authority”. [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]
25 Feb 2021, 9:08 am
UBS AG, 799 F. [read post]
15 May 2007, 2:39 am
AGs Review Hiring of Outside Counsel
The National Law Journal
Attorneys general in seven states -- some of whom have retained plaintiffs law firms to bring high-profile lawsuits involving lead paint and the painkiller OxyContin -- are instituting new policies or facing legislative pressure to make the hiring of outside legal counsel more transparent. [read post]
2 Oct 2019, 6:00 am
Medals and trophies were awarded to the fastest runners in their respective age categories, with results being posted on the Bakersfield Track Club website. [read post]
15 Jun 2012, 5:57 am
UBS AG (download here), the employer’s motion for summary judgment was denied on a SOX whistleblower claim. [read post]
15 Feb 2021, 7:31 am
From January 2011 until May 2017 Wudemann was registered with UBS Financial Services Inc. [read post]
25 Sep 2018, 9:30 am
A number of them were of retirement age or close to that age. [read post]
