Search for: "UBS Securities LLC "
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25 Feb 2010, 10:57 am
Click Here UB pays federal fine for PCB transformer problems. [read post]
22 Feb 2010, 5:54 am
Banc of American Securities, LLC 05-CIV-9016, 2010 WL 184312 (S.D.N.Y. [read post]
22 Feb 2010, 5:54 am
Banc of American Securities, LLC 05-CIV-9016, 2010 WL 184312 (S.D.N.Y. [read post]
21 Feb 2010, 8:16 am
In a recent S.D.N.Y. opinion, UBS Securities, LLC v. [read post]
18 Feb 2010, 2:00 pm
Shulman was formerly the Global Head of the Municipal Securities Group of UBS AG and the Head of Fixed Income for the Americas of UBS Securities LLC. [read post]
13 Feb 2010, 9:32 pm
The inside information was given to him by an ex-UBS Securities LLC executive. [read post]
31 Jan 2010, 6:02 pm
Banc of America Securities, LLC, et al., 2010 WL 184312 (S.D.N.Y.) [read post]
30 Dec 2009, 9:08 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]
26 Dec 2009, 11:44 am
UBS Warburg, Qualcomm Inc. v. [read post]
9 Dec 2009, 6:55 am
Incorporated, Goldman Sachs & Co., Bear Stearns Companies, Inc., Bank of America Securities LLC, Bank of New York, Citigroup Inc., Credit Suisse (USA) Inc., Deutsche Bank Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith, Inc., and UBS Financial Services, Inc. [read post]
7 Dec 2009, 10:54 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]
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 Nov 2009, 1:37 pm
Kiley (Kiley), both Minnesota residents, and UBS Diversified Growth LLC, Universal Brokerage... [read post]
18 Nov 2009, 1:45 pm
Since 2008, state securities regulators have secured deals with banks including Citigroup, Merrill Lynch, Goldman Sachs, Deutsche Bank, Wachovia, JP Morgan, Morgan Stanley, UBS and TD Ameritrade. [read post]
9 Nov 2009, 12:00 am
Hedge Fund Wins $35.5 Million Prejudgment Lien Against UBS
The Connecticut Law Tribune
In one of the first actions against bond rating agencies and banks over the so-called toxic debt instruments that helped trigger the economic meltdown, a Connecticut hedge fund has won a $35.5 million prejudgment lien against UBS Securities and UBS AG. [read post]
4 Nov 2009, 7:59 am
These comments can be found here. **** Jake Elmhirst - Global Co-Head Private Funds Group of UBS Securities, LLC USB strongly believes that: Registered placement agents play a beneficial role in the capital markets; The proposed ban would be detrimental to both private equity managers and their public pension plan investors; The proposed ban in lA-291O is unnecessary and overbroad, and the Commission can regulate registered broker-dealer placement agents through other… [read post]
29 Oct 2009, 3:22 pm
" 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]
26 Oct 2009, 2:22 pm
Securities and Exchange Commission continue their probes? [read post]
10 Oct 2009, 2:36 pm
The Commission's complaint alleged illegal insider trading in connection with two related schemes in which Wall Street professionals serially traded on material, nonpublic information tipped by insiders at UBS Securities LLC ("UBS") and Morgan Stanley & Co., Inc. [read post]
28 Sep 2009, 3:54 pm
Citigroup Global Markets, Deutsche Bank Securities, and UBS Securities have agreed to pay fines for Financial Industry Regulatory Authority sanctions over their handling of Vonage LLC stock's initial public offering in 2006. [read post]
