Search for: "UBS Financial Services"
Results 721 - 740
of 1,067
Sorted by Relevance
|
Sort by Date
14 Aug 2012, 3:36 pm
Meantime, the SEC is accusing McMurtry of violating the financial firm’s internal policy and choosing a certain ABCP issuer for one longstanding municipal client. [read post]
17 Aug 2017, 2:38 pm
The timing of these corrective actions is particularly notable, as the Justice Department announced its landmark deferred prosecution agreement with the largest bank in Switzerland, UBS AG, in February 2009, and the Internal Revenue Service unveiled its Offshore Voluntary Disclosure Program approximately 30 days later. [read post]
29 Jul 2020, 12:44 pm
Jeffrey Hill Wells Fargo Advisors Dougherty & Company LLC Tracy Kirby Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Inc David Moxom UBS Financial Services Inc. [read post]
13 Oct 2011, 7:19 am
Harris was President of the Financial Services Technology division at LPS’s former parent, Fidelity National Financial (FNF), until he retired in 2007. [read post]
21 May 2009, 8:06 pm
California Attorney General Edmund G Brown, Jr. is suing Wells Fargo Investments LLC, Wells Fargo Institutional Securities, and Wells Fargo Brokerage Services for $1.5 billion. [read post]
21 Nov 2016, 6:21 am
Examples include investors in a particular tax shelter or account holders at a defined financial institution: the IRS has made use of the procedure when seeking information about offshore accounts related to the UBS investigation, Paypal accounts, and various credit card companies. [read post]
1 Jul 2019, 12:40 pm
Primerica Financial Services LaMarca, Charles Benjamin & Jerold Brokerage I, LLC Meridian Equity Partners, Inc Laveck, David MML Investors Services, LLC MSI Financial Services, Inc Won Lee, Kevin J.P. [read post]
3 Dec 2009, 9:07 pm
General Insurance, Life Insurance & Retirement Services, Financial Services and Asset Management. [read post]
20 Apr 2021, 8:40 am
The discussion draft also was the subject of a hearing held by the House Financial Services Committee’s Subcommittee on Investor Protection, Entrepreneurship and Capital Markets, which is chaired by Rep. [read post]
7 Sep 2007, 9:46 am
In July of 2007, UBS Financial Services, Inc. agreed to pay a $23.3 million settlement for "inappropriately steering" brokerage customers into fee-based accounts. [read post]
21 Mar 2011, 9:54 am
The Internal Revenue Service alleged unpaid taxes ranged from $3,400 to more than $21,000 per year. [read post]
25 Apr 2019, 11:59 am
According to FINRA Disciplinary actions for April 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 Acca, Lisa Arive Capital Markets Global Arena Capital Corp Boggs, Marcus Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America… [read post]
4 Apr 2018, 7:38 am
UBS Financial Services, Inc Randolph Lee Eddlemon III Geneos Wealth Management, Inc Schooner Financial Associates Carlos Nestor Evertsz-Seda K.C. [read post]
18 Sep 2008, 1:14 am
Enormous campaign contributions from the financial services industry helped assure regulatory lethargy. [read post]
5 Aug 2008, 3:36 pm
If charges are brought, Citigroup would become the third big financial firm to face civil-fraud charges by regulators since the auction-rate imbroglio. [read post]
1 Dec 2022, 7:23 am
Morgan Securities LLC Morgan Stanley Bruce Smith The Sports Advisory Group, LLC UBS Financial Services Inc. [read post]
10 Dec 2014, 2:15 pm
Internet service providers have consistently told the government that utility regulation of broadband would harm infrastructure investment. [read post]
26 Dec 2018, 12:17 pm
UBS Financial Services, Credit Suisse, Merrill Lynch, Morgan Stanley and other large investment firms have offered YES strategies in various forms or products, sometimes through managed accounts, structured notes or funds. [read post]
13 Jan 2020, 8:32 am
Another aspect of the case that should be of interest to compliance officers of financial services firms was the role that text messages and group chats played in the trial of Mr. [read post]
19 Aug 2011, 11:02 am
As recently as June, in a similar ruling, a FINRA arbitration panel awarded $2 million to NBA Philadelphia 76ers President Pat Croce against UBS Financial Services for an investment he made in a Lehman Brothers principal protected notes. [read post]
