Search for: "UBS Securities, LLC"
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10 Apr 2012, 5:55 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 Boca Raton, Florida. [read post]
24 Mar 2012, 8:51 pm
Per the court, the plaintiffs, who sued Mecox, its leading officials, and underwriters Credit Suisse Securities (USA) LLC and UBS AG (UBS), failed to adequately allege any materially false or misleading statements in the registration statement or prospectus for the 2010 IPO. [read post]
15 Mar 2012, 11:17 pm
Per the AWC, Neely started running a Ponzi scam in 2001 while he was still working at UBS. [read post]
9 Mar 2012, 11:55 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]
9 Mar 2012, 11:34 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]
18 Jan 2012, 6:48 am
The White Law Group, LLC is a national securities arbitration and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
16 Jan 2012, 4:42 pm
Walter Louis Howerton formerly with Wachovia Securities, LLC, in Modesto, California, was fined $12,500 and suspended from association with any FINRA member for six months in connection with a finding that he made unsuitable recommendations related to a customer's account. [read post]
10 Jan 2012, 7:42 am
The White Law Group, LLC is a national securities fraud, securities arbitration, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
23 Dec 2011, 8:57 am
Securities and Exchange Commission, the U.S. [read post]
14 Dec 2011, 2:45 pm
Morgan Securities LLC, which settled with the SEC and other federal and state authorities in July for $228 million. [read post]
8 Dec 2011, 8:02 pm
., UBS AG, and JPMorgan Chase & Co. [read post]
8 Dec 2011, 1:45 pm
Morgan Securities LLC (a $228 million settlement in July 2011), UBS Financial Services Inc. [read post]
1 Dec 2011, 1:58 pm
Credit Suisse Securities (USA) LLC 406.6M Kajeet Inc. v. [read post]
11 Nov 2011, 3:48 pm
Less than a month after UBS Securities, LLC agreed to pay $12M to settle Financial Industry Regulatory Authority claims of supervisory failures and violating regulation SHO in securities short sales, the broker-dealer has now consented to an $8M penalty to settle Securities and Exchange Commission charges over poor recordkeeping related to the short sales. [read post]
11 Nov 2011, 11:04 am
The SEC charged UBS Securities, LLC for inaccurate recording practices when providing and recording “locates” to customers seeking to execute short sales. [read post]
10 Nov 2011, 1:06 pm
The SEC charged UBS Securities LLC for inaccurate recording practices when providing and recording “locates” to customers seeking to execute short sales. [read post]
7 Nov 2011, 4:48 am
According to FINRA, the bank’s UBS Securities LLC broker-dealer unit allowed short-sale orders to be mislabeled or filled without checking to see if the sellers could even produce the underlying securities. [read post]
4 Nov 2011, 10:48 am
UBS Securities LLC was fined $12 million and censured by the Financial Industry Regulatory Authority, or FINRA, for widespread system deficiencies and a failure to supervise that led to tens of millions of improper short sales. [read post]
3 Nov 2011, 11:46 am
The Financial Industry Regulatory Authority (FINRA) has fined UBS Securities LLC $12 million for violation of Regulation SHO and its failure to adequately supervise its brokers regarding short sale transactions. [read post]
31 Oct 2011, 12:36 pm
Related Web Resources: Regulators Investigating MF Global for Missing Money, NY Times, October 31, 2011 Corzine's B-D could be liquidated, Investment News, November 1, 2011 More Blog Posts: Shareholder Securities Lawsuit Against China North East Petroleum Holdings Ltd., is Dismissed by District Court, Institutional Investor Securities Blog, October 30, 2011 Money Laundering Charges Filed Against of Houston Criminal Defense Lawyer Accused of Defrauding Defendants of Over… [read post]
