Search for: "UBS Financial Services Inc "
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24 Jan 2012, 3:10 am
UBS Financial Services, Inc. filed a lawsuit this week in U.S. federal court against Anthony Ostlund Baer & Louwagie, P.A. claiming that, contrary to applicable ethical standards of professional conduct, AOBL, having represented USBFS is now suing USBFS in a “substantially … Continue reading ? [read post]
20 Jan 2012, 1:26 pm
It includes Dell Inc., Qwest Communications, Citigroup, UBS Financial Services, Johnson & Johnson, JP Morgan, Deloitte and Touché, and General Electric Company. [read post]
20 Jan 2012, 6:34 am
European and US enforcement agencies have remained active and have opened probes into credit default swaps as well as other alleged cartel and abusive behaviors banks and financial institutions. [read post]
19 Jan 2012, 7:15 am
UBS Financial Services, Inc.pdf., Case No. 11 Civ. 2308 (S.D. [read post]
16 Jan 2012, 4:42 pm
November 2011 UBS Financial Services Inc., in Weehawken NJ was censured and fined $300,000 in connection with a finding by FINRA that the firm failed to reasonably supervise resulting in a failure to prevent improper, excessive, and unsuitable short-term trading for multiple customer accounts. [read post]
6 Jan 2012, 7:48 am
This year, the repeat offenders were based outside the U.S.: Barclays Bank (BCS) took the brass ring with 2,885 individual filings — that’s nearly eight for every day of they year, including weekends and holidays — followed closely by UBS (UBS), at 2,812 filings, and then BlackRock (BLK) at 2,669. [read post]
23 Dec 2011, 8:57 am
Attorney General George Jepsen today announced a $34.25 million multistate settlement with GE Funding Capital Market Services, Inc. [read post]
12 Dec 2011, 8:12 am
. * Flagstar Bank * Heart Financial Services * HSBC * Hyundai Capital * Macy’s * MERSCORP Inc. * Mortgage Bankers Assoc. * Natl. [read post]
9 Dec 2011, 7:55 am
Financial Services Authority records. [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, 2:22 pm
. * Flagstar Bank * Heart Financial Services * HSBC * Hyundai Capital * Macy’s * MERSCORP Inc. * Mortgage Bankers Assoc. * Natl. [read post]
1 Dec 2011, 1:58 pm
UBS Financial Services Inc. 80.8M 212 Investment Corp. et al. v. [read post]
26 Nov 2011, 5:20 pm
Files for Bankruptcy While Its Broker Faces Liquidation and Securities Lawsuit by SIPC, Institutional Investor Securities Blog, October 31, 2011 UBS Financial Services Fined $2.5M and Ordered to Pay $8.25M Over Lehman Brothers-Issued 100% Principal-Protection Notes, Institutional Investor Securities Blog, April 12, 2011 [read post]
31 Oct 2011, 12:36 pm
Larger ones were those involving Lehman Brothers Holdings Inc., Conseco Inc., CIT Group Inc., and Washington Mutual Inc. [read post]
19 Oct 2011, 6:28 pm
Once again, former Lehman Brothers Holdings Inc. executives want an insurance fund to cover their expenses stemming from securities-related misconduct they are accused of committing. [read post]
17 Oct 2011, 1:38 pm
UBS Financial Services Inc. has agreed to settle charges brought by the Financial Industry Regulatory Authority, or FINRA, alleging that UBS failed to supervise a stockbroker who stood on both sides of multiple municipal bond trades to and from his customersandrsquo; retail accounts. [read post]
12 Oct 2011, 3:00 am
UBS Financial Services, Inc., et al. v. [read post]
6 Oct 2011, 6:09 am
In UBS Financial Services Inc. v. [read post]
6 Oct 2011, 6:09 am
In UBS Financial Services Inc. v. [read post]
23 Sep 2011, 9:55 am
See UBS Financial Services Inc. [...] [read post]
