Search for: "UBS Securities, LLC"
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13 Nov 2012, 11:54 am
McWood, 280 F.3d 1078 (6th Cir.andnbsp; 2002); UBS Financial Services Inc. v. [read post]
7 Nov 2012, 1:59 pm
To compensate investors that suffered losses from the technical snafus, Nasdaq Stock Market LLC is proposing a $62 million reimbursement fund. [read post]
25 Sep 2012, 12:22 pm
Reprinted with permission from the September 20, 2012 edition of Corporate Counsel© 2012 ALM media Properties, LLC. [read post]
13 Sep 2012, 7:45 pm
Automated Trading Desk LLC shareholders, led by founder David Whitcomb and ex-ATD executive Jonathan Butler, are spearheading this securities case. [read post]
31 Aug 2012, 3:47 pm
District Court for the District of Colorado has put out an order temporarily freezing the assets of two locals, William Sullivan and Michael Turnock, and their firm Bridge Premium Finance LLC. [read post]
29 Aug 2012, 12:10 pm
UBS Real Estate Securities Inc. [read post]
29 Aug 2012, 6:41 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 Boca Raton, Florida. [read post]
29 Aug 2012, 6:41 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 Boca Raton, Florida. [read post]
23 Aug 2012, 7:09 pm
More Blog Posts: Raymond James Settles Auction-Rate Securities Case with Indiana Securities Division for $31M, Stockbroker Fraud Blog, August 27, 2011 The 11th Circuit Revives SEC Fraud Lawsuit Against Morgan Keegan Over Auction-Rate Securities, Institutional Investor Securities Blog, May 8, 2012 Securities Fraud Lawsuit Against UBS Securities LLC by Detroit Pension Funds Won’t Be Remanded to State Court, Says District… [read post]
21 Aug 2012, 5:15 pm
The losses Edgar sold were purportedly non-passive partnership losses generated by Creative Financial Solutions, LLC and Why Not Entertainment, LLC, both of which Edgar managed and controlled. [read post]
6 Aug 2012, 2:41 pm
District Court for the Eastern District of Virginia said that Citigroup (C) and UBS (UBS)cannot preliminarily enjoin Financial Industry Regulatory Authority arbitration over an auction-rate securities offering that did not succeed. [read post]
1 Aug 2012, 5:51 am
Berkery, Chairman, UBS Bank & Vice Chair, Wealth Mgmt., UBS Financial Services Inc. [read post]
17 Jul 2012, 2:58 am
By Nissenbaum Law Group, LLC. [read post]
Justia lists 6,711 LawBlogs in 75 subcategories. One subcategories sets out 274 "New York LawBlogs."
12 Jul 2012, 8:46 am
By Nissenbaum Law Group, LLC. [read post]
15 Jun 2012, 11:10 am
UBS Americas, Inc. [read post]
7 Jun 2012, 10:59 am
District Court for the District of Connecticut has decided not to grant summary judgment to UBS AG (UBS) and UBS Securities LLC in Mary Barker’s lawsuit claiming that her firing violated the whistleblower provision of the Sarbanes-Oxley Act. [read post]
7 May 2012, 2:07 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
2 May 2012, 6:29 am
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
2 May 2012, 6:14 am
("UBS") and Wells Fargo Advisors, LLC ("Wells Fargo") a total of $9.1 million for selling more than $27 billion of complex, non-traditional exchange traded funds ("ETFs") to investors for whom the exotic ETFs were unsuitable. [read post]
1 May 2012, 2:22 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision... [read post]
