Search for: "UBS Financial Services Inc "
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16 Jul 2008, 9:25 pm
Those firms include UBS Financial Services, Bear, Stearns & Co., Inc., Citigroup Global Markets, Inc., J.P. [read post]
8 Jul 2008, 7:47 pm
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
8 Jul 2008, 1:49 pm
In the Matter of UBS Securities, LLC and UBS Financial Services, Inc., Docket No. 2008-0045 (Mass. [read post]
7 Jul 2008, 3:31 pm
According to a Boston Globe article written by Beth Healy, "State was warned on securities," UBS Financial Services Inc., JP Morgan Securities Inc., Lehman Brothers, Morgan Stanley, Bear Stearns Cos., and Merrill Lynch & Co. all knew the market was in distress. [read post]
26 Jun 2008, 11:05 pm
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
25 Jun 2008, 2:45 pm
One of Connecticut’s wealthiest families has recently brought an attachment suit against UBS AG, UBS Securities, LLC and UBS Financial Services, Inc. in an effort to require UBS to set aside $150 million to cover a potential reward in an ongoing FINRA arbitration concerning auction rate securities “ARS”). [read post]
25 Jun 2008, 2:45 pm
One of Connecticut’s wealthiest families has recently brought an attachment suit against UBS AG, UBS Securities, LLC and UBS Financial Services, Inc. in an effort to require UBS to set aside $150 million to cover a potential reward in an ongoing FINRA arbitration concerning auction rate securities “ARS”). [read post]
11 Jun 2008, 11:33 am
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
6 Jun 2008, 6:01 pm
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
30 May 2008, 4:25 pm
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
11 May 2008, 7:38 pm
UBS Financial Services Inc. and UBS Securities LLC, both units of UBS AG, have agreed to pay 19 Massachusetts public agencies and local governments over $35 million for their losses in the auction-rate securities market. [read post]
9 May 2008, 8:40 am
UBS Financial Services, Inc. and UBS Securities LLC entered into an agreement Wednesday with the Massachusetts Attorney General to return over $35 million to Massachusetts towns, cities and government entitities that UBS had invested in auction rate securities. [read post]
9 May 2008, 8:02 am
Louis, MO - The law firm of Carey & Danis LLC has filed a class action lawsuit on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
18 Apr 2008, 3:52 pm
In her December 2006 opinion (via New York Law Journal), SDNY Judge Denise Cote dismissed the claims against former parent Zurich Financial Services and its underwriters UBS AG and Merrill Lynch International and certain claims against Converium Holding AG and three Converium officers, but not all. [read post]
7 Apr 2008, 6:05 am
The two cases involved Marc Winters (Case E102004083704) and Lisa Ann Tomiko Nouchi (Case E102004083705), both former representatives of UBS FInancial Services, Inc. [read post]
1 Apr 2008, 9:14 am
Massachusetts Secretary of the Commonwealth William Galvin is subpoenaing Merrill Lynch, Pierce, Fenner, & Smith Inc., UBS Securities, and Bank of America Investments because it wants information about the companies' involvement in selling auction-rate market securities to retail investors. [read post]
28 Feb 2008, 3:05 pm
" Prudential Securities must pay an $800,000 fine, UBS Financial Services, Inc. was fined $750,000 and Pruco Securities was hit for $100,000 for improper sales of Class B and Class C mutual fund shares. [read post]
22 Feb 2008, 6:10 am
After returning from the service after World War II, he borrowed money and established a shipping terminal in New Jersey. [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]
14 Jan 2008, 6:18 pm
UBS Securities LLC Needham & Co. [read post]
