Search for: "UBS Securities, LLC"
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22 Sep 2023, 2:15 pm
Filoramo allegedly was employed as a broker and investment adviser by UBS Financial Services Inc. from 2002 to 2006. [read post]
22 Sep 2023, 2:15 pm
Filoramo allegedly was employed as a broker and investment adviser by UBS Financial Services Inc. from 2002 to 2006. [read post]
1 Mar 2010, 12:27 am
March 2 Sponsor: Advanced Fund Administration Event: Advanced Fund Administration - GAIM Cayman Party Location: Cayman Islands March 3 Sponsor: FTF Event: Surviving a Hedge Fund Operational Due Diligence Location: Boston, MA March 3 Sponsor: 100 Women in Hedge Funds Event: A Ringside Seat on Wall Street: Meet Joe Perella Location: New York, NY March 3 Sponsor: Living Group Event: UCITS: Marketing for New Markets Location: London March 4 Sponsor: FTF Event: How to Launch a Hedge Fund… [read post]
15 Aug 2016, 6:36 am
Sea Port Group Securities, LLC, August 11, 2016, Wesley, R.). [read post]
29 Jul 2010, 9:12 pm
” The legislation and Saunders’s comments may indicate that Visa also is working to avoid a trial by settling the merchants’ lawsuit, said Jason Kupferberg, an analyst with UBS Securities LLC. [read post]
7 Oct 2011, 2:13 pm
Schulman, of Schulman & Kaufman LLC, then verified it by printing out screen shots from the game with the logo in them. 2. [read post]
15 Oct 2008, 10:30 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]
18 May 2016, 5:45 am
Its example, a state statute that does nothing more than incorporate and enforce a federal securities regulation, is a simple one. [read post]
25 Mar 2008, 9:20 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]
24 Mar 2008, 9:41 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]
31 Dec 2010, 8:41 pm
Junior Kim, previously with UBS Financial Services in Beverly Hills, CA, was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 days in connection with changing customer telephone numbers to report inaccurate information, without the customers' knowledge or authorization. [read post]
20 Dec 2010, 10:32 am
In September of this year, another former hedge fund portfolio manager settled charges initially brought by the SEC in February of 2010 based on allegations that he had traded ahead of upcoming UBS analyst recommendations for the fund and for himself based on tips from an executive director in UBS’s equity research department. [read post]
26 Oct 2009, 2:22 pm
Securities and Exchange Commission continue their probes? [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]
23 Dec 2011, 8:57 am
Securities and Exchange Commission, the U.S. [read post]
14 Jan 2013, 7:30 am
Without independence, a CCO is mere window-dressing and false security for the board." 4. [read post]
28 Feb 2010, 11:56 pm
Swiss Government Asks UBS to Pay Legal Costs in Tax Dispute With U.S. [read post]
18 Aug 2023, 7:20 am
Options are a type of derivative security. [read post]
9 Aug 2010, 3:10 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]
2 May 2024, 12:35 pm
He was affiliated with firms like RBC Capital Markets, UBS Financial Services Inc., and Citigroup Global Markets Inc. [read post]
