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UBS and Citigroup to Pay Nearly $30 Billion to Tens of Thousands of ARS Investors
22 Dec 2008, 5:18 pm
UBS Financial Services, Inc., UBS Securities, LLC, and Citigroup have reached finalized settlements with the Securities and Exchange Commission to pay tens of thousands of ARS investors almost $30 billion. [read post]
Stock Broker Fraud Blog - http://www.stockbrokerfraudblog.com/
Investor Misrepresentation and Omission Claims Escalate
25 Jul 2008, 7:17 pm
Incorporated/ Morgan Stanley DW Inc., RBC Dain Rauscher Inc., A.G. [read post]
Investment Fraud Lawyer Blog - http://www.investmentfraudlawyerblog.com/
Investor Suitability Claims on the Rise
16 Jul 2008, 9:25 pm
Incorporated/ Morgan Stanley DW Inc., RBC Dain Rauscher Inc., A.G. [read post]
Investment Fraud Lawyer Blog - http://www.investmentfraudlawyerblog.com/
Bear, Stearns, Merrill Lynch, Deutsche Bank Securities and UBS Securities Among the 19 Broker-Dealers to Settle SRO Charges Of Overstated Ad Volumes
14 Jan 2008, 6:18 pm
RBC Capital Markets Corp. [read post]
Stock Broker Fraud Blog - http://www.stockbrokerfraudblog.com/
FINRA Fines 19 Firms a Total of $2.8 Million for Inaccurate Advertised Trade Volume Information
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]
Securities Law Blog - http://seclaw.blogspot.com/