Search for: "UBS Financial Services"
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1 Mar 2010, 12:27 am
March 25-26 Sponsor: HFMWeek Event: HFM European Performance Awards Location: London **** Bart Mallon, Esq. runs the Hedge Fund Law Blog and provides hedge fund information and manager registration services through Mallon P.C. [read post]
9 Aug 2012, 5:03 am
The New York Department of Financial Services brought the claims against Standard Chartered in an action the report calls particularly embarrassing for the U.S. [read post]
2 Oct 2015, 2:15 pm
– $100,000 PNC Capital Markets LLC – $500,000 Prager & Co., LLC – $100,000 Ross, Sinclaire & Associates, LLC – $220,000 UBS Financial Services, Inc. [read post]
15 May 2012, 10:00 pm
In connection with FINRA’s efforts, UBS Financial Services, Morgan Stanley, Wells Fargo and Citigroup Global Markets Inc. have agreed to pay $7.3 million in fines and $1.8 million in restitution, totaling $9.1 million. [read post]
1 Sep 2008, 10:58 am
It should be fair to assume that the same process was carried out at Citibank, Merrill Lynch, UBS and Bear Sterns. [read post]
1 Dec 2011, 1:58 pm
UBS Financial Services Inc. 80.8M 212 Investment Corp. et al. v. [read post]
12 Sep 2011, 1:30 pm
In April this year, the IRS made its first award in the large awards program – $4.5 million awarded to an unnamed former accountant of a large financial services firm. [read post]
30 Apr 2019, 12:26 pm
Cornide Jr. has been registered with UBS Financial Services Inc. in Coral Gables, FL since May 11, 2004, FINRA reports. [read post]
13 May 2008, 7:54 am
UBS announced last week that it will cut 5,500 jobs, including 2,600 investment bankers. [read post]
13 Aug 2009, 1:02 am
A subscription to LAW.COM is needed for online access to this service. [read post]
31 Oct 2018, 5:57 am
Clouser was also registered with June 23, 2008 until June 1, 2009 in Portland, Oregon, and with UBS Financial Services, Inc in Portland, Oregon from March 9, 2001 until July 7, 2008, FINRA notes. [read post]
1 Dec 2011, 2:22 pm
Creditors Connection * Nationstar Mortgage * PNC * Residential Finance Corp. * SAXON * Springleaf Finance * TCF Financial Corp. * UBS * U.S. [read post]
12 Dec 2011, 8:12 am
Creditors Connection * Nationstar Mortgage * PNC * Residential Finance Corp. * SAXON * Springleaf Finance * TCF Financial Corp. * UBS * U.S. [read post]
8 Nov 2021, 1:27 pm
Ricardo Uliambre Morgan Stanley Smith Barney LLC UBS Financial Services Inc. [read post]
2 Aug 2020, 2:49 pm
As The Financial Action Task Force (“FATF”) has said, trade-based money laundering consists of: over or under-invoicing of goods or services; the over or under-shipping of goods; falsely describing goods or services; or multiple invoicing. [read post]
23 Dec 2019, 7:30 am
Thirteen prominent banks and financial services companies agreed to pay $337 million to resolve claims by investors that they conspired to rig prices of bonds issued by mortgage companies Fannie Mae and Freddie Mac for a decade. [read post]
3 Sep 2020, 8:21 am
Daniel Motherway National Securities Corporation UBS Financial Services, Inc. [read post]
5 Mar 2016, 3:30 am
Asset Land Investment Plc & Anor v The Financial Conduct Authority, heard 13-14 January 2016. [read post]
30 Dec 2022, 7:14 am
Pamelia Owensby UBS Financial Services Inc. [read post]
19 Apr 2024, 1:23 pm
David Morris Stifel, Nicolaus & Company UBS Financial Services Inc. [read post]
