Search for: "UBS Financial Services"
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28 Feb 2023, 6:46 am
J.P Turner & Company, LLC Mark Miranda Spartan Capital Securities, LLVC Network 1 Financial Securities Inc Patrick Thayer LPL Financial LLC Parkland Securities, LLC Brian Wurdemann RBC Capital Markets, LLC UBS Financial Services Inc. [read post]
16 Jan 2012, 11:15 am
Stephen Wilkes, Associate, Drinker Biddle & Reath LLP Steve Wilkes is an attorney in the firm’s ERISA Financial Services Team. [read post]
19 Feb 2014, 6:49 am
The employee’s sexual orientation discrimination claims also survived, even though she did not tell the supervisor who decided to fire her that she was “gay” or “lesbian,” because a jury could conclude that her supervisor inferred she was a lesbian based on her comments that she had an “alternative lifestyle” and did not “date men” (Benussi v UBS Financial Services, Inc, February 13, 2014, Crotty, P). [read post]
28 Sep 2022, 8:06 am
LLC together with Morgan Stanley Smith Barney LLC; andUBS Securities LLC together with UBS Financial Services Inc.The following two firms have agreed to pay penalties of $50 million each:Jefferies LLC; andNomura Securities International, Inc.Cantor Fitzgerald & Co. has agreed to pay a $10 million penalty. [read post]
28 Jan 2013, 6:15 am
Last May, Finra ordered broker-dealers of four major banks, Wells Fargo & Co., Citigroup Global Markets Inc., Morgan Stanley and UBS Financial Services Inc., to pay $9.1 million in fines and restitution for selling such funds “without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
4 Aug 2009, 7:00 am
• An ETF seeking to deliver three times the daily return of the Russell 1000 Financial Services Index fell 53 percent while the index actually gained around 8 percent. [read post]
17 Mar 2022, 12:08 pm
Paul Koch was reportedly affiliated with the following firms during his career, among others, according to FINRA: 10/26/2018 – 02/04/2022, RBC CAPITAL MARKETS, LLC (CRD#:31194), Wayzata, MN, 01/28/2009 – 11/07/2018, UBS FINANCIAL SERVICES INC. [read post]
19 Jan 2012, 7:15 am
UBS Financial Services, Inc.pdf., Case No. 11 Civ. 2308 (S.D. [read post]
8 Nov 2009, 2:51 pm
’s financial Regulator, the Financial Services Authority, fined UBS $13.3 million for unauthorized trading in customers’ accounts. [read post]
27 Nov 2018, 10:11 am
William Dumchus has also worked at the following firms: • Wells Fargo, NJ, Westfield, NJ — February 3, 2006 through April 17, 2014 • UBS Financial Services, Inc., Weehawken, NJ — December 1, 2000 through February 23, 2006 • Salomon Smith Barney, Inc., New York, NY — July 31, 1993 through December 11, 2000 • Lehman Brothers Inc., New York, NY — April 27, 1984 through July 31, 1993 • Merrill Lynch, Pierce,… [read post]
16 Feb 2019, 1:34 pm
Daniel Levine, FINRA states, has been registered at the following firms: First Financial Equity Corporation, Greenwood Village, Colorado— July 5, 2018 to August 7, 2018Morgan Stanley, Greenwood Village, Colorado— June 7, 2013 to August 2, 2018 UBS Financial Services Inc., Littleton, Colorado— February 15, 2008 to June 17, 2013 Merrill Lynch, Pierce, Fenner & Smith Incorporated, Englewood, Colorado— December 6, 2002 to February… [read post]
14 Dec 2011, 2:45 pm
UBS Financial Services Inc.paid $160 million to settle with the SEC and other federal and state authorities in May, and Banc of America Securities LLCreached a $137 million settlement with the SEC and other federal and state authorities on Dec. 7. [read post]
21 Oct 2013, 10:26 am
As of September 18, 2007, when plaintiffs purchased the securities, both Moody’s Investors Service, Inc. [read post]
26 Mar 2013, 12:00 am
Esteves sold it to UBS for $3.1 billion in what was at the time the largest deal in Brazil’s financial sector. [read post]
19 Oct 2011, 11:26 am
Somehow Panama was a market good enough to return after 2002, or each closure is an excuse to cover up bad management of the branch.Of course, Panama News also concluded in 2002 that the "entire offshore financial services sector's days are numbered". [read post]
28 Feb 2010, 1:18 am
The seminar will be held at the UBS Conference Center, One North Wacker Drive. [read post]
21 Nov 2014, 1:02 pm
Treasury, $100 million to the Federal Reserve, and $715 million to the New York State Department of Financial Services. [read post]
8 Feb 2016, 1:00 am
UBS AG v Commissioners for Her Majesty’s Revenue and Customs, heard 3 December 2015. [read post]
29 Sep 2023, 1:04 pm
Community Financial Services Association (covered in more detail in this preview) is also the first of several cases this term involving the division of authority between the three branches of government, as well as the power of administrative agencies. [read post]
7 Jul 2009, 6:22 am
And at UBS, risk managers were apparently alerted to potential subprime losses during the first quarter of 2007, but it took months for UBS executives to even raise those issues with the corporate board and outline a comprehensive picture of the company's subprime exposure. [read post]
