Search for: "UBS Financial Services Inc "
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18 Jan 2011, 6:25 am
Speakers include: Kenneth Crowley, Executive Director of UBS Financial Services Inc., Weehawken, NJ. [read post]
12 Jan 2011, 7:48 am
Shao worked on setting up China ventures for Goldman Sachs Group Inc., UBS and CLSA Asia-Pacific Markets, a unit of the French bank Crédit Agricole SA. [read post]
11 Jan 2011, 8:36 am
’s Bank of America Merrill Lynch, Citigroup Inc., Goldman Sachs Group Inc., J.P. [read post]
31 Dec 2010, 8:41 pm
Junior Kim, previously with UBS Financial Services in Beverly Hills, CA, was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 days in connection with changing customer telephone numbers to report inaccurate information, without the customers' knowledge or authorization. [read post]
28 Dec 2010, 1:07 pm
An arbitration panel awarded an investor more than $2.2 million for losses resulting from the purchase of structured notes issued by Lehman Brothers, which were purchased from UBS Financial Services, Inc. [read post]
22 Nov 2010, 9:01 am
”The investigation has touched a number of companies, the Journal said, including: Primary Global Research LLC, Goldman Sachs Group Inc., Broadband Research LLC, First New York Securities LLC, Ziff Brothers, Jana Partners LLC, TPG-Axon Capital Management, Prudential Financial Inc.'s Jennison Associates asset-management unit, UBS AG's UBS Financial Services Inc. unit, and Deutsche Bank AG.Insider-trading charges… [read post]
16 Nov 2010, 10:55 am
According to FINRA's press release announcing that action, the regulator "censured and fined UBS Financial Services, Inc. [read post]
27 Oct 2010, 4:18 pm
UBS Financial Services Inc ., supra, 2007 WL 4287334, at p.*2; see § 2699.3.) [read post]
7 Sep 2010, 9:21 am
An arbitration panel has ruled that UBS Financial Services must pay kids' cell phone maker Kajeet Inc. nearly $81 million in damages. [read post]
10 Aug 2010, 2:31 am
A Financial Industry Regulatory Authority arbitration panel has ordered UBS Financial Services Inc. to pay investor Kajeet Inc. $80.8 million for failed auction-rate securities. [read post]
30 Apr 2010, 10:26 pm
While Stifel increased its adviser roster by over 500 in 2009, absorbing over 300 advisers from UBS Financial Services Inc. [read post]
16 Apr 2010, 8:10 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded damages to the Marcus family and their affiliated profit sharing and retirement plans as a result of losses sustained in so-called Lehman principal protected structured notes sold to them by UBS Financial Services, Inc. [read post]
6 Apr 2010, 1:58 am
SCA is a holding company for financial guaranty insurance and reinsurance. [read post]
28 Feb 2010, 1:18 am
Lothian & Company, Inc. [read post]
25 Feb 2010, 10:57 am
Click Here UB pays federal fine for PCB transformer problems. [read post]
18 Feb 2010, 2:00 pm
" An investigation by the Attorney General into the auction rate securities market found that UBS Securities LLC and UBS Financial Services, Inc. [read post]
7 Feb 2010, 6:37 pm
UB then failed to properly store both transformers, mark the storage areas with the proper labeling, and failed to mark each transformer with the date it was removed from service. [read post]
7 Feb 2010, 2:25 pm
UB then failed to properly store both transformers, mark the storage areas with the proper labeling, and failed to mark each transformer with the date it was removed from service. [read post]
28 Dec 2009, 11:42 am
Aug. 14, 2009) and here (Textron's SILOs and its tax accrual workpapers: First Circuit Sides with the Service, Aug. 13, 2009) and on the District Court case here (Textron, Inc.: Tax Accrual Workpapers, Attorney-Client Privilege, and Work Product Protection, Aug. 30, 2007). [read post]
9 Dec 2009, 3:19 pm
In an arbitration case that could affect numerous cases that are still pending, a Financial Industry Regulation Authority panel awarded a small investor $200,000 after finding that a UBS Financial Services broker acted inappropriately when he sold high-risk Lehman Brothers Holdings Inc. principal-protected notes to the claimant. [read post]
