Search for: "UBS Securities LLC "
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1 Aug 2012, 5:51 am
Berkery, Chairman, UBS Bank & Vice Chair, Wealth Mgmt., UBS Financial Services Inc. [read post]
1 May 2023, 9:05 am
UBS Securities, LLC and and Loper Bright Enterprises v. [read post]
27 Sep 2009, 10:26 am
• Realpoint LLC, a credit rating company, reported that loans on more than 1,500 hotels, many secured by luxury hotels, may be in danger of default. [read post]
3 Feb 2023, 12:22 pm
UBS Securities, LLC 22-660Issue: Whether, following the burden-shifting framework that governs cases under the Sarbanes-Oxley Act of 2002, a whistleblower must prove his employer acted with a “retaliatory intent” as part of his case in chief, or whether the lack of “retaliatory intent” is part of the affirmative defense on which the employer bears the burden of proof. [read post]
22 Sep 2014, 10:37 am
City of Reno, 747 F.3d 733 (9th Cir. 2014) (holding that a broad forum selection clause superseded FINRA Rule 12200), with UBS Fin. [read post]
14 Dec 2015, 1:00 am
UBS AG v Commissioners for Her Majesty’s Revenue and Customs, heard 3 December 2015. [read post]
6 Oct 2011, 11:37 am
UBS Warburg LLC, 229 F.R.D. 422 (S.D.N.Y.2004) and Qualcomm, Inc. v. [read post]
2 Feb 2023, 10:55 am
Jake is one of the preeminent lawyers in the country for security fraud matters and FINRA arbitration. [read post]
2 Jun 2016, 5:23 am
Kiley, UBS Diversified Growth, LLC, Universal Brokerage FX Management, LLC, Oxford Global Advisors, LLC, and Oxford Global Partners, LLCCase number: 09-cv-03333 (United States District Court for the District of Minnesota)Case filed: November 23, 2009Qualifying Judgment/Order: January 12, 2016 3/31/2016 6/29/2016 2016-41 In the Matter of PTC Inc.Administrative Proceeding File No.: 3-17118Case filed: February 16, 2016Qualifying Judgment/Order: February 16, 2016… [read post]
16 Sep 2009, 1:32 am
Hedge Fund Wins $35.5 Million Prejudgment Lien Against UBS
The Connecticut Law Tribune
In one of the first actions against bond rating agencies and banks over the so-called toxic debt instruments that helped trigger the economic meltdown, a Connecticut hedge fund has won a $35.5 million prejudgment lien against UBS Securities and UBS AG. [read post]
9 Nov 2009, 12:00 am
Hedge Fund Wins $35.5 Million Prejudgment Lien Against UBS
The Connecticut Law Tribune
In one of the first actions against bond rating agencies and banks over the so-called toxic debt instruments that helped trigger the economic meltdown, a Connecticut hedge fund has won a $35.5 million prejudgment lien against UBS Securities and UBS AG. [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]
6 Feb 2014, 7:35 am
In January, 2009, Wife was wooed by Wachovia Securities, LLC to serve as a client financial advisor and a managing director of investments. [read post]
17 Jul 2012, 2:58 am
By Nissenbaum Law Group, LLC. [read post]
13 Aug 2009, 1:02 am
Judge OKs $500 Million Settlement by Social Security Administration
The Recorder
The Social Security Administration has agreed to pay an estimated $500 million to people whose benefits it suspended or denied between January 2007 and April of this year, under a settlement given preliminary approval by a judge Tuesday. [read post]
13 May 2008, 7:54 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]
4 Feb 2021, 7:59 am
UBS Securities, LLC, 770 F.3d 1010 (2d Cir. 2014), another case involving an arbitration clause which incorporated the AAA rules and explicitly exempted certain claims from arbitration. [read post]
4 Feb 2021, 7:59 am
UBS Securities, LLC, 770 F.3d 1010 (2d Cir. 2014), another case involving an arbitration clause which incorporated the AAA rules and explicitly exempted certain claims from arbitration. [read post]
1 Apr 2009, 1:39 am
Auction-Rate Securities Class Action Tossed, but Plaintiffs Say Litigation Not Over Yet
The American Lawyer
On Monday, New York federal Judge Lawrence McKenna dismissed a class action accusing UBS of manipulating the market for auction-rate securities. [read post]
21 Aug 2012, 5:15 pm
The losses Edgar sold were purportedly non-passive partnership losses generated by Creative Financial Solutions, LLC and Why Not Entertainment, LLC, both of which Edgar managed and controlled. [read post]
