Search for: "UBS Financial Services Inc "
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3 Dec 2013, 7:00 am
According to court filings, Hulse was a director of H&H Worldwide Financial Service, Inc., Paul Hulse, Jr. was H&H’s president, Steven P. [read post]
25 Jul 2008, 7:17 pm
Those firms include UBS Financial Services, Bear, Stearns & Co., Inc., Citigroup Global Markets, Inc., J.P. [read post]
19 Feb 2014, 6:49 am
The employee’s sexual orientation discrimination claims also survived, even though she did not tell the supervisor who decided to fire her that she was “gay” or “lesbian,” because a jury could conclude that her supervisor inferred she was a lesbian based on her comments that she had an “alternative lifestyle” and did not “date men” (Benussi v UBS Financial Services, Inc, February 13, 2014, Crotty, P). [read post]
15 Jun 2019, 12:55 pm
Timothy Joseph Croak has spent 41 years in the securities industry, has been registered with UBS Financial Services Inc. in New York, NY since November 24, 2015, FINRA notes, and has also been registered with the following firms: Credit Suisse Securities LLC, New York, NY— January 17, 2003 until December 18, 2015Donaldson, Lufkin, & Jenrette Securities Corporation, Jersey City, NJ— May 22, 1990 until January 17, 2003Finally, it is important to… [read post]
22 Sep 2020, 2:32 am
From January 2004 until October 2005, Kassaei was registered with UBS Financial Services. [read post]
22 Sep 2020, 2:32 am
From January 2004 until October 2005, Kassaei was registered with UBS Financial Services. [read post]
28 Feb 2010, 1:18 am
Lothian & Company, Inc. [read post]
2 Jul 2015, 7:37 am
UBS Financial Services, Inc., June 30, 2015, Jacobs, D.). [read post]
The Irrelevancy of Interested Influence on the Board: In re Nat'l City Corp. Shareholders Litigation
9 Nov 2009, 5:00 am
The settlement arises from a suit brought by NCC shareholders to enjoin a merger between NCC and PNC Financial Services Group, Inc. [read post]
8 Oct 2019, 4:51 am
UBS Financial Services, Inc. (19-249): Whether the grant of an employee stock option is a “sale” of a security under the Securities Act of 1933.Isaacson/Weaver Family Trust v. [read post]
7 Jul 2009, 6:22 am
" Former Chairman and CEO of Citigroup Inc., Charles O. [read post]
27 Sep 2017, 9:18 am
” Joining in the event as sponsors were Chain | Cohn | Stiles (presenting sponsor), Chevron, Wells Fargo, Kern County Prosecutors Association, Special Treatment Education & Prevention Services Inc., FedEx, Johnson Attorneys Group, Kern Schools Federal Credit Union, Ira and Carole Cohen of UBS Financial Services, and Davita. [read post]
27 Sep 2017, 9:18 am
” Joining in the event as sponsors were Chain | Cohn | Stiles (presenting sponsor), Chevron, Wells Fargo, Kern County Prosecutors Association, Special Treatment Education & Prevention Services Inc., FedEx, Johnson Attorneys Group, Kern Schools Federal Credit Union, Ira and Carole Cohen of UBS Financial Services, and Davita. [read post]
5 Apr 2009, 1:26 pm
As of February 6, 2009, nearly 400 financial institutions had received assistance under this program.[1] Concluding that prior government responses to the financial crisis were “late and inadequate,” the Obama administration in February 2009 announced a comprehensive “Financial Stability Plan. [read post]
20 Jan 2016, 5:21 am
Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. [read post]
2 Sep 2015, 3:13 pm
Ira and Carole Cohen/UBS Financial Services Kern Law Enforcement Association Hall Ambulance Service Incorporated Local media is also supporting the cause and helping raise awareness. [read post]
20 Jul 2012, 8:30 am
UBS Financial Services, Inc. [read post]
21 Aug 2012, 5:15 pm
Hardee has made a full payment of $1,525,150 in restitution to the Internal Revenue Service (IRS). [read post]
22 Apr 2013, 2:43 pm
In return for information on his former employer UBS (one of the largest banks in Switzerland), Bradley Birkenfeld was awarded a $104 million service award. [read post]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
