Search for: "UBS Securities LLC "
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26 Mar 2019, 1:20 pm
Zamansky LLC is a New York law firm which represents investors in court and arbitration cases against securities brokerage firms and issuers. [read post]
6 Apr 2018, 11:33 am
Zamansky LLC also represents investors in arbitration cases against UBS and other brokerage firms regarding Puerto Rico bonds and UBS closed end bond funds and other investments. [read post]
27 Mar 2020, 6:51 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 Franklin, Tennessee. [read post]
1 Apr 2020, 6:27 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 Franklin, Tennessee. [read post]
10 Apr 2008, 9:32 am
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
15 Feb 2018, 9:36 am
Maczko first became associated with a FINRA member firm in 1988 as a general securities representative under the employ of UBS Financial Services Inc. [read post]
20 Feb 2008, 7:57 am
UBS has decided that it simply will not buy such securities at all. [read post]
26 Sep 2018, 2:39 pm
See, e.g., In the Matter of ITG Inc. and Alternet Securities, Inc., Exchange Act Release No. 75672 (Aug. 12, 2015) (stating that ITG admitted to operating a secret trading desk and misusing the confidential trading information of dark pool subscribers) (available here); In the Matter of UBS Securities LLC, Exchange Act Release No. 74060 (Jan. 15, 2015) (reporting that UBS paid more than $14.4 million for failing to disclose to dark pool subscribers… [read post]
26 Sep 2018, 2:39 pm
See, e.g., In the Matter of ITG Inc. and Alternet Securities, Inc., Exchange Act Release No. 75672 (Aug. 12, 2015) (stating that ITG admitted to operating a secret trading desk and misusing the confidential trading information of dark pool subscribers) (available here); In the Matter of UBS Securities LLC, Exchange Act Release No. 74060 (Jan. 15, 2015) (reporting that UBS paid more than $14.4 million for failing to disclose to dark pool subscribers… [read post]
20 Nov 2023, 9:01 pm
Madoff Investment Securities LLC (BLMIS) was a Ponzi scheme led to its liquidation under the Securities Investor Protection Act (SIPA).1 A SIPA liquidation is designed to collect “customer property” for ratable distribution among customers based on their “net equity” — investments minus withdrawals (i.e., loss of principal).2 SIPA largely incorporates the Bankruptcy Code and allows the SIPA trustee to recover property transferred by the debtor… [read post]
9 Apr 2020, 7:00 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 Franklin, Tennessee. [read post]
18 Dec 2017, 2:06 pm
From October 2014 until May 2017 Paynter was associated with UBS Financial Services Inc. [read post]
7 Mar 2011, 12:17 pm
Royal Furgeson Jr., of the United States District Court for the Northern District of Texas, issued a temporary injunction halting FINRA securities arbitration claims pending against Securities America in connection with the sale of Provident Royalties LLC and Medical Capital Holdings Inc., and instead of being able to sue the brokerage firms and their agents in FINRA arbitration for fraud, failure to conduct due diligence, and the violation of the federal… [read post]
15 Apr 2020, 8:56 am
The post Clients Get Burned When Brokers Sugarcoat Investment Risk appeared first on Zamansky LLC. [read post]
31 Mar 2020, 6:24 am
The post It’s Time to Look Under the Hood of Your Investments appeared first on Zamansky LLC. [read post]
8 Nov 2021, 1:27 pm
Ricardo Uliambre Morgan Stanley Smith Barney LLC UBS Financial Services Inc. [read post]
21 Jan 2020, 8:00 am
Searching the site requires some “detective skills,” however, as the name of the property owners is not always accurately identified by the entity depositing the property with the Comptroller.For example, the entity may be reported merely as:EDUCATION DEPARTMENTHEADS AND HORNS BUILDING BRONX NY 10460FLEET BANK N A However, more often the names are more accurately reported, such as:BOCES ADIRONDACK EDUC CTR 711 RT 3 BLOOMINGDALE RD SARANAC LAKE NY 12983 CONAGRA FOODS LAMB WESTON… [read post]
2 Dec 2009, 7:49 am
” Page Perry, LLC is an Atlanta-based law firm which represents investors in securities related litigation and arbitration. [read post]
24 Jun 2008, 8:48 pm
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing executives and other securities professionals in employment disputes with their employers. [read post]
6 Aug 2015, 1:59 pm
UBS Secs., LLC, No. 12 Civ. 5914(JMF), 2013 WL 2190084, at *3–7 (S.D.N.Y. [read post]
