Search for: "UBS Financial Services Inc "
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1 Jun 2022, 8:46 am
MML Investors Services, LLC NYLife Securities LLC Teresa Gomez UBS Financial Services Inc. [read post]
1 Dec 2011, 1:58 pm
UBS Financial Services Inc. 80.8M 212 Investment Corp. et al. v. [read post]
15 Feb 2021, 7:31 am
From January 2011 until May 2017 Wudemann was registered with UBS Financial Services Inc. [read post]
5 Aug 2008, 3:36 pm
If charges are brought, Citigroup would become the third big financial firm to face civil-fraud charges by regulators since the auction-rate imbroglio. [read post]
5 Nov 2014, 2:56 pm
– $60,000 TD Ameritrade – $100,800 UBS Financial Services – $56,400 Wedbush Securities Inc. [read post]
19 Mar 2012, 9:13 am
UBS Financial Services, Inc. [read post]
7 Sep 2007, 9:46 am
In July of 2007, UBS Financial Services, Inc. agreed to pay a $23.3 million settlement for "inappropriately steering" brokerage customers into fee-based accounts. [read post]
28 Sep 2022, 12:37 pm
LLC and Morgan Stanley Smith Barney LLC; UBS Securities LLC and UBS Financial Services Inc. [read post]
27 Dec 2023, 8:45 am
UBS Financial Services Inc. [read post]
22 Sep 2021, 8:30 am
Ricardo Uliambre UBS Financial Services Inc. [read post]
28 Apr 2022, 8:28 am
John Sommo UBS Financial Services Inc. [read post]
28 Nov 2016, 9:37 am
Prior to that, he was registered with UBS Financial Services in Chesterfield, MO from 09/2011 – 08/2014. [read post]
12 Jun 2024, 1:41 pm
KOHN & COMPANY (CRD#:27913), CINCINNATI, OH, B, 11/11/2005 – 10/19/2023, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), BLOOMFIELD HILLS, MIB, 10/29/1999 – 12/02/2005, UBS FINANCIAL SERVICES INC. [read post]
30 Dec 2022, 7:14 am
Pamelia Owensby UBS Financial Services Inc. [read post]
28 Sep 2022, 8:06 am
LLC together with Morgan Stanley Smith Barney LLC; andUBS Securities LLC together with UBS Financial Services Inc.The following two firms have agreed to pay penalties of $50 million each:Jefferies LLC; andNomura Securities International, Inc.Cantor Fitzgerald & Co. has agreed to pay a $10 million penalty. [read post]
8 Aug 2012, 4:01 pm
Inc. [read post]
20 Mar 2020, 8:00 am
Foreign companies like UBS and Nomura Holdings, Inc., a Japanese holding company, already hold a majority stake in their ventures, while other companies are in the process of applying for a 51% stake. [read post]
29 Jun 2019, 11:48 am
Sumaya De Los Angeles Musa has been registered with UBS Financial Services Inc. in Aventura, Florida since August 10, 2007, and has also been registered with UBS Financial Services Incorporated of Puerto Rico in San Juan, Puerto Rico since August 10, 2007, FINRA reports. [read post]
18 Apr 2008, 3:52 pm
In her December 2006 opinion (via New York Law Journal), SDNY Judge Denise Cote dismissed the claims against former parent Zurich Financial Services and its underwriters UBS AG and Merrill Lynch International and certain claims against Converium Holding AG and three Converium officers, but not all. [read post]
16 Sep 2009, 1:32 am
A subscription to LAW.COM is needed for online access to this service. [read post]
