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8 Oct 2019, 4:51 am
UBS Financial Services, Inc. (19-249): Whether the grant of an employee stock option is a “sale” of a security under the Securities Act of 1933.Isaacson/Weaver Family Trust v. [read post]
4 Dec 2014, 9:02 pm
En la segunda demanda se establece que “el 9 de octubre de 2014, la Oficina del Comisionado de Instituciones Financieras (OCIF), circuló a los medios y al público en general, un Comunicado de Prensa, tanto español como en inglés, anunciando que OCIF había llegado a un acuerdo mediante el cual UBS Financial Services (UBS), se comprometía a pagar $3,500,000 y ofrecía restituir $1,681,742 a ciertos clientes,… [read post]
31 Dec 2020, 3:00 pm
While some people use social media to legitimately promote products and services, there has recently been a discerning trend of individuals using social media to spread misinformation about investment opportunities. [read post]
27 Sep 2017, 9:18 am
” Joining in the event as sponsors were Chain | Cohn | Stiles (presenting sponsor), Chevron, Wells Fargo, Kern County Prosecutors Association, Special Treatment Education & Prevention Services Inc., FedEx, Johnson Attorneys Group, Kern Schools Federal Credit Union, Ira and Carole Cohen of UBS Financial Services, and Davita. [read post]
22 Apr 2024, 1:03 pm
This includes, but is not limited to: admissions, employment, financial aid, housing, services in educational programs or activities, or health care services that the University operates or provides. [read post]
27 Sep 2017, 9:18 am
” Joining in the event as sponsors were Chain | Cohn | Stiles (presenting sponsor), Chevron, Wells Fargo, Kern County Prosecutors Association, Special Treatment Education & Prevention Services Inc., FedEx, Johnson Attorneys Group, Kern Schools Federal Credit Union, Ira and Carole Cohen of UBS Financial Services, and Davita. [read post]
4 Sep 2018, 6:52 am
Read the SEC Complaint (PDF) More Blog Posts:Dallas, Texas-Based Wells Fargo Broker Expelled by FINRA, August 30, 2018 Shepherd Smith Edwards & Kantas LLP Investigating Claims Involving Donna Tucker and UBS Financial Services, August 29, 2018 Transamerica Entities to Pay $97M to Investors Over Flawed Investment Models, August 28, 2018 The post 1 Global Capital Accused of Defrauding Retail Investors in Alleged $287M Unregistered Securities Scam appeared first on… [read post]
24 Nov 2015, 9:30 pm
The FCA expanded its authority to regulate precious metals fixes directly earlier this year, mirroring regulatory reforms the Financial Services Authority implemented following the LIBOR scandal. [read post]
9 Dec 2011, 7:55 am
Financial Services Authority records. [read post]
18 Dec 2009, 3:00 am
The government, by the way, gets nothing for this implicit guarantee--unlike a commercial guarantor, it is not being paid a regular premium for the service. [read post]
1 Mar 2018, 1:35 pm
Internal Revenue Service (IRS) (the tax collection agency) also rewards international whistleblowers who report on American tax avoidance. [read post]
29 Jan 2019, 10:13 am
In addition, under certain circumstances, the miscellaneous penalty could be elevated to 50 percent if the taxpayer maintained an account at a financial institution, or did business with an offshore service provider, identified on a list maintained by the IRS. [read post]
9 Dec 2010, 11:31 am
We are very interested in devising a process that will be effective and meet the goals of the legislation, but do so in an efficient manner that recognizes the operational considerations of the financial services industry. [read post]
The Irrelevancy of Interested Influence on the Board: In re Nat'l City Corp. Shareholders Litigation
9 Nov 2009, 5:00 am
The settlement arises from a suit brought by NCC shareholders to enjoin a merger between NCC and PNC Financial Services Group, Inc. [read post]
5 Apr 2009, 1:26 pm
As of February 6, 2009, nearly 400 financial institutions had received assistance under this program.[1] Concluding that prior government responses to the financial crisis were “late and inadequate,” the Obama administration in February 2009 announced a comprehensive “Financial Stability Plan. [read post]
21 Aug 2012, 5:15 pm
Hardee has made a full payment of $1,525,150 in restitution to the Internal Revenue Service (IRS). [read post]
2 Sep 2015, 3:13 pm
Ira and Carole Cohen/UBS Financial Services Kern Law Enforcement Association Hall Ambulance Service Incorporated Local media is also supporting the cause and helping raise awareness. [read post]
11 Aug 2009, 9:26 am
With all the brilliant news of recovery and a restoration to a nation of promise and financial dominance, there is the fact which underscores a reticence of excitement. [read post]
28 Dec 2010, 10:41 am
Among the leading sellers of private placements in Provident Royalties were Capital Financial Services, with $33.7 million in sales; Next Financial Group, with $33.5 million; and QA3 Financial Corp., with $32.6 million. [read post]
12 Jan 2011, 7:48 am
Even UBS AG, whose UBS Securities is the most active foreign underwriter in China, made a net profit in 2009 of only around 109.2 million yuan ($16.5 million), according to publicly available data. [read post]
