Search for: "UBS Financial Services"
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10 Jun 2015, 9:23 am
Respondent Wright entered the securities industry in 1995 with UBS Financial Services Inc. until January 2010. [read post]
15 Jun 2011, 7:00 am
Totalling 2.25 million, this will be the largest award that the respondent UBS Financial Services Inc. has had to pay out. [read post]
1 Nov 2017, 7:44 am
Internal Revenue Service (IRS)! [read post]
3 Dec 2018, 6:35 am
In a stunning move, two founding members of the Protocol, UBS Financial Services and Morgan Stanley, withdrew from the Protocol late last year. [read post]
3 Aug 2015, 6:17 am
Thereafter, from December 2009, through February 2012, Delguercio was associated with UBS Financial Services Inc. [read post]
18 Dec 2007, 10:44 pm
NYSE Regulation also announced enforcement action against three people: *Former UBS Financial Services Inc. [read post]
31 Oct 2013, 10:12 am
Internal Revenue Service. [read post]
4 May 2012, 6:44 am
Earlier this week, leveraged and inverse ETFs took center stage when the Financial Industry Regulatory Authority (FINRA) levied $9.1 million in penalties on four major banks – Citigroup Global Markets, Morgan Stanley & Co., UBS Financial Services and Wells Fargo Advisors – for their role in selling the risky investments to retail clients who, because of their conservative risk profiles, should never have purchased them. [read post]
30 Oct 2018, 11:26 am
In February 2018, Congress passed the Bipartisan Budget Act of 2018, requiring the Internal Revenue Service (IRS) to include penalties for Report of Foreign Bank and Financial Accounts (FBAR) violations in calculating whistleblower awards. [read post]
1 May 2009, 8:25 am
UBS Rebuffs US: UBS AG, in a court filing aimed at fending off Internal Revenue Service attempts to gain access to information about American clients, said Thursday it can’t provide information to U.S. tax collectors because the move would violate Swiss privacy laws. [read post]
29 Aug 2012, 12:10 pm
The SEC has also filed a civil lawsuit against Whitman and his financial firm. [read post]
9 Jan 2013, 6:36 pm
UBS AG, 342 F.Supp.2d 132 (2004), United States District Court, E.D. [read post]
9 Jul 2018, 12:46 pm
John Cochran Maccoll UBS Financial Services Inc. [read post]
7 Oct 2022, 12:37 pm
In June we reported that UBS Financial Services Inc settled with the SEC for $25 million in connection with the YES, (Yield Enhancement Strategy) See: UBS Settles Fraud Charges over YES Options Trading Strategy According to the SEC’s order, between February 2016 through February 2017 UBS marketed and sold YES to approximately 600 investors through its platform of domestic financial advisors. [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors Capital … [read post]
26 Oct 2015, 7:16 am
For instance in 2001, UBS Financial Services Inc. [read post]
11 Aug 2008, 10:51 am
But as noted in an August 8, 2008 CFO.com article (here), at the same time, a number of other leading banks have been hit with regulatory subpoenas as problems surrounding auction rate securities become “the crisis of the day for the large global financial services companies. [read post]
19 Apr 2007, 2:07 pm
Roberta Tse, a former financial adviser at one of UBS's flagship branches in Manhattan, sued UBS after she was put on a probationary plan in 2002 and fired eight months later.A more complete story is at Employment Law 360 UBS Ordered To Pay $3.5M In Sex Bias Case ($). [read post]
26 Jul 2016, 2:38 pm
Syslo is currently employed by UBS Financial Services, Inc. [read post]
10 Oct 2022, 1:07 pm
From May 2012 until October 2018 Badii was registered with UBS Financial Services, Inc. [read post]
