Search for: "UBS Financial Services"
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1 Nov 2017, 11:28 am
The original pact was signed by UBS Financial Services and Merrill Lynch, Pierce, Fenner & Smith, but was joined by virtually every major wirehouse firm, most of the regional and independent broker-dealers and hundreds of registered investment advisors. [read post]
18 Jan 2008, 7:12 am
Both the IRS Financial Services group (part of its LMSB Division) and the IRS Whistleblower Office have emphasized to me--as recently as yesterday--their strong interest in hedge fund abuses that violate the tax laws. [read post]
5 Jul 2012, 6:06 pm
UBS (UBS) and Morgan Stanley (MS) have also attempted to target mom and pop investors. [read post]
2 Oct 2012, 1:00 pm
Britain’s Financial Services Authority managing director Martin Wheatley says that oversight of Libor should become the UK regulator’s job. [read post]
4 Oct 2009, 10:16 pm
In the first case since the resolution of the IRS UBS standoff, one of the UBS bank account holders has entered a plea of 'guilty'. [read post]
21 Nov 2013, 8:02 am
From June 2005 until May 2009, Zeng was associated with UBS Financial Services, Inc. [read post]
13 Nov 2014, 12:01 pm
., TD Ameritrade, UBS Financial Services, and Wedbush Securities. [read post]
26 Mar 2013, 11:00 pm
Following its broad ruling in UBS Financial Services v. [read post]
1 Apr 2013, 6:11 am
Following its broad ruling in UBS Financial Services v. [read post]
11 Oct 2018, 10:58 am
Previous to that, he was a UBS Financial Services (UBS) broker. [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]
23 Dec 2011, 8:57 am
GE Funding is the fifth financial institution to settle with the multistate working group in the ongoing municipal bond derivatives investigation following Bank of America, UBS AG, JP Morgan and Wachovia. [read post]
7 Mar 2014, 3:22 pm
The most recent SEC investigation revealed that, although not registered with the SEC, international financial services company, Credit Suisse Group AG, has been engaging in financial transactions with U.S. customers. [read post]
8 Aug 2022, 6:34 am
Plaintiff was responsible for performing research and creating reports that went to UBS's clients about the company's products and services. [read post]
15 Jan 2015, 7:24 am
FINRA’s findings echo the allegations made by hundreds of investors against Popular Securities and UBS Financial Services, Inc. [read post]
18 Dec 2017, 2:06 pm
From October 2014 until May 2017 Paynter was associated with UBS Financial Services Inc. [read post]
18 Feb 2014, 12:58 pm
Puerto Rico’s financial situation is already impacting current debt holders. [read post]
29 Aug 2022, 8:43 am
Background In 2011, UBS hired Murray as a strategist in its commercial mortgage-backed securities (CMBS) unit, where he was responsible for conducting research and creating reports for distribution to current and potential clients about CMBS products, services, and transactions. [read post]
13 Aug 2009, 11:49 am
Meanwhile, the Swiss Financial Market Supervisory Authority's deadline for feedback on its own proposed new compensation guidelines for financial services companies is Aug. 14. [read post]
16 Oct 2018, 8:06 am
Smith also was a former UBS Financial Services broker. [read post]
