Search for: "UBS Securities, LLC"
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14 Jan 2008, 5:51 am
More on the Recent MAC Clause Cases There continues to be a lot of commentary regarding the recent decision in the Finish Line/UBS Securities LLC litigation, decided by the Tennessee Court of Chancery (Chancellor Ellen Hobbs Lyle). [read post]
10 Jan 2008, 3:52 pm
Baird & Co., Inc., Thomas Weisel Partners, LLC, UBS, Bear, Stearns, BMO Capital, Cowen, Deutsche Bank, and RBC Capital Markets Corp.). [read post]
18 Dec 2007, 10:44 pm
Penn Mott Securities was fined $3,200 for similar violations. [read post]
21 Oct 2007, 11:50 am
The firms disciplined include: Merrill Lynch, Pierce, Fenner & Smith: Fined $100,000 for violating rule 123c about 480 times when it cancelled or submitted securities orders after the mandatory cutoff period. [read post]
15 Oct 2007, 2:46 pm
The SEC charged the Collottas and 12 others with insider trading violations for using information stolen from UBS Securities LLC and Morgan Stanley. [read post]
9 Oct 2007, 3:32 pm
Other firms sanctioned included UBS Securities; Bear Stearns & Co.; Credit Suisse Securities (USA) LLC ; Banc of America Securities LLC; Goldman Sachs & Co.; JP Morgan Securities; Wachovia Capital Markets LLC; and Keefe, Bruyette & Woods Inc. [read post]
7 Sep 2007, 9:46 am
See NASD News Release: NASD Fines Wachovia Securities $2 Million for Fee-Based Account Violations, June 21, 2007. [read post]
22 May 2007, 12:19 am
Rahim bought, through UBS AG London, 6,700 TXU call option contracts that had March 2007 expiration dates. [read post]
13 Mar 2007, 11:08 pm
(a unit of Credit Suisse Group) and UBS Securities LLC to pay fines for a number of securities violations. [read post]
12 Mar 2007, 7:06 am
In the UBS scheme, UBS Securities LLC executive Mitchel Guttenberg is accused of selling non-public material on upcoming downgrades and upgrades in securities recommendations that were made by UBS analysts for hundreds of thousands of dollars to Erik Franklin and David Tavdy, two Wall Street traders. [read post]
