Search for: "UBS Financial Services Inc "
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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]
3 Dec 2009, 9:07 pm
General Insurance, Life Insurance & Retirement Services, Financial Services and Asset Management. [read post]
30 Nov 2009, 2:39 pm
Marc Winters of Chatsworth, California, was suspended from association with any FINRA member in any capacity for 90 days and fined $19,882 for allegedly entering inaccurate and false customer information while he was employed at UBS Financial Services. [read post]
13 Nov 2009, 4:19 pm
Stifel has been working to turn its business into a full-service investment bank and its subsidiary, Stifel, Nicolaus, & Co., recently completed its buy of 56 UBS Financial Services Inc. branches, which it purchased for at least $46 million. [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]
9 Nov 2009, 12:00 am
A subscription to LAW.COM is needed for online access to this service. [read post]
4 Nov 2009, 7:59 am
. **** Joan Hinchman - Executive Director, President and CEO, of NSCP (National Society of Compliance Professionals Inc.) [read post]
7 Oct 2009, 2:50 pm
Morbach previously worked as Vice President-Investments at UBS Financial Services Inc. [read post]
16 Sep 2009, 8:07 pm
UBS employees marketed the CDOs to Pursuit while they were communicating with Moody's Investors Services Inc. [read post]
16 Sep 2009, 1:32 am
A subscription to LAW.COM is needed for online access to this service. [read post]
13 Sep 2009, 7:24 pm
UBS PaineWebber, Inc., 250 F. [read post]
12 Aug 2009, 4:51 pm
UBS Financial Services Inc. has agreed to be fined $100,000 and Merrill Lynch, Pierce, Fenner & Smith Inc. has consented to a $150,000 fine, says the Financial Industry Regulatory Authority, for alleged supervisory failures that resulted in the inappropriate short-term sales of closed-end funds that were bought at initial public offerings for the funds. [read post]
28 Jul 2009, 2:03 pm
FINRA announced today that it fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $150,000 and UBS Financial Services, Inc. $100,000 for supervisory failures that led to unsuitable short-term sales of closed-end funds (CEF) purchased at the funds' initial public offerings.... [read post]
18 Jul 2009, 7:31 am
Not surprisingly, the SEC has focused its attention on cases related to the financial crisis. [read post]
10 Jul 2009, 12:58 pm
District Court for the Southern District of Ohio against three former employees of UBS Financial Services Inc. [read post]
7 Jul 2009, 6:22 am
" Former Chairman and CEO of Citigroup Inc., Charles O. [read post]
4 Jun 2009, 4:34 pm
According to New Hampshire securities regulators, UBS Financial Services Inc., a unit of UBS AG, misled investors regarding complex securities that were issued by Lehman Brothers before the latter filed for bankruptcy protection in 2008. [read post]
UBS Financial Services Inc. Secures Temporary Restraining Order Against Three Former Brokers in Ohio
2 Jun 2009, 5:52 am
A dispute between UBS Financial Services Inc. [read post]
1 Jun 2009, 9:10 pm
Inc., Royal Bank of Canada, Morgan Stanley, Wachovia Corp, and UBS AG. [read post]
