Search for: "UBS Financial Services Inc "
Results 421 - 440
of 591
Sort by Relevance
|
Sort by Date
13 Nov 2012, 11:54 am
McWood, 280 F.3d 1078 (6th Cir.andnbsp; 2002); UBS Financial Services Inc. v. [read post]
29 Aug 2012, 12:10 pm
UBS Real Estate Securities Inc. [read post]
23 Aug 2012, 7:09 pm
Court of Appeals for the Second Circuit has affirmed a lower court’s ruling to dismiss the ARS lawsuit filed against Merrill Lynch (MER), Merrill Lynch, Pierce, Fenner, and Smith Inc. ( MLPF&S), Moody’s Investor Services (MCO), and the McGraw-Hill Companies, Inc. [read post]
21 Aug 2012, 5:15 pm
Hardee has made a full payment of $1,525,150 in restitution to the Internal Revenue Service (IRS). [read post]
9 Aug 2012, 5:03 am
The New York Department of Financial Services brought the claims against Standard Chartered in an action the report calls particularly embarrassing for the U.S. [read post]
8 Aug 2012, 4:01 pm
Inc. [read post]
6 Aug 2012, 2:41 pm
UBS Financial Services Inc. v. [read post]
6 Aug 2012, 6:49 am
Moody’s Investors Service recently downgraded ratings of numerous gas prepayment bonds. [read post]
6 Aug 2012, 6:49 am
Moody’s Investors Service recently downgraded ratings of numerous gas prepayment bonds. [read post]
6 Aug 2012, 6:49 am
Moody’s Investors Service recently downgraded ratings of numerous gas prepayment bonds. [read post]
1 Aug 2012, 5:51 am
Berkery, Chairman, UBS Bank & Vice Chair, Wealth Mgmt., UBS Financial Services Inc. [read post]
20 Jul 2012, 8:30 am
UBS Financial Services, Inc. [read post]
16 Jul 2012, 7:08 pm
While Barclays may have the settled the allegations for $450 million with the UK’s Financial Services Authority, the US Department of Justice, and the Commodity Futures Trading Commission, now a number of other financial firms are under investigation including UBS AG (UBS), JPMorgan Chase (JPM), Deutsche Bank AG, Credit Suisse Group (CS), Citigroup Inc., Bank of Tokyo-Mitsubishi UFJ, HSBC Holdings PLC (HBC-PA), Lloyds Banking Group PLC… [read post]
26 Jun 2012, 3:08 pm
Dow Jones News Services reports that an insurance policy for the financial firm’s ex-directors and former officers will pay the remaining $31.7 million. [read post]
20 Jun 2012, 7:00 am
Erin Correale is a Director and Associate General Counsel at UBS Financial Services Inc., in the UBS Wealth Management Americas business division. [read post]
18 Jun 2012, 11:42 am
(Hulse) was a director of H&H Worldwide Financial Service Inc.; Paul Hulse, Jr. [read post]
15 May 2012, 10:00 pm
In connection with FINRA’s efforts, UBS Financial Services, Morgan Stanley, Wells Fargo and Citigroup Global Markets Inc. have agreed to pay $7.3 million in fines and $1.8 million in restitution, totaling $9.1 million. [read post]
12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for… [read post]
12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for… [read post]
11 May 2012, 6:27 pm
UBS Financial Services Inc. of Puerto Rico (UBS) has agreed to pay $26.6 million to settle the Securities and Exchange Commission administrative action accusing the financial firm of misleading investors about its control and liquidity over the secondary market for nearly two dozen proprietary closed-end mutual funds. [read post]
