Search for: "UBS Financial Services"
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15 Jan 2008, 4:37 am
A former broker at UBS Financial Services has agreed to settle charges he participated in a multi-million dollar hedge fund fraud, the Securities and Exchange Commission said on Monday. [read post]
14 Jan 2008, 6:18 pm
UBS Securities LLC Needham & Co. [read post]
14 Jan 2008, 5:51 am
(In fact, the contribution model indicated that 70% of such debt service and working capital was expected to be funded from Genesco's earnings from operations). [read post]
18 Dec 2007, 10:44 pm
NYSE Regulation also announced enforcement action against three people: *Former UBS Financial Services Inc. [read post]
10 Dec 2007, 4:36 am
Travelport, the travel services group owned by buyout shop the Blackstone Group, has mandated five banks for its 1.4 billion euro ($2 billion) initial public offering, Financial News reported. [read post]
30 Nov 2007, 5:08 am
Defense attorneys for UBS Financial Services and counsel for the California plaintiffs opposed pretrial coordination. [read post]
18 Nov 2007, 6:15 pm
It will help business entities to get financial support from financiers and open broader access to [read post]
5 Nov 2007, 1:48 pm
" "It's a weird state of affairs that these phenomenal global companies can't self-reproduce executives,' says Glenn Schorr, a financial services analyst at UBS AG. 'It is a function of the culture and the leadership or lack of leadership' at each firm, he says. [read post]
5 Nov 2007, 12:44 am
After he took a position in 1999 as systems administrator at New Jersey-based financial-services firm UBS PaineWebber Inc., he stayed up late ensuring that the company's computers remained up and running. [read post]
5 Nov 2007, 12:11 am
Technology Traps a Technologist
Law Technology News
Late one night, IT specialist Roger Duronio unleashed a "logic bomb" on former employer UBS PaineWebber, leaving 8,000 brokers unable to work and costing the New Jersey-based financial services firm more than $3 million in network downtime and damaged equipment alone. [read post]
25 Oct 2007, 12:27 pm
UBS Financial Services has been censured and fined $370,000 in a settlement with the Financial Industry Regulatory Authority, or FINRA, for making what the self-regulatory group said were hundreds of late disclosures about its brokers. [read post]
16 Oct 2007, 6:16 am
, and key relationship partners to the client, all in service of delivering not just legal services of impeccable quality but client service of impeccable quality. [read post]
18 Sep 2007, 7:50 am
He approaches a bank or financier for assistance, which instead of lending him the funds at interest, the two parties form an agreement whereby the financier purchases the product at its "acquisition cost. [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]
26 Jul 2007, 7:00 am
According to the complaint, UBS falsely promised comprehensive and sophisticated financial planning services. [read post]
22 Jul 2007, 6:48 pm
” He also presents Linking Integrity and Success - CFOs and UBS , asking “s integrity integral to success? [read post]
18 Jul 2007, 5:29 pm
UBS Financial Services, Inc. will pay $23.3 million to settle charges by New York's Attorney General of "inappropriately steering" of brokerage customers into fee-based accounts. [read post]
16 Jul 2007, 4:34 pm
Melton, lmelton@dhayeslaw.com THE HAYES LAW FIRM, www.dhayeslaw.com UBS Financial Services, Inc. has agreed to pay a $23.3 million settlement for "inappropriately steering" brokerage customers into fee-based accounts. [read post]
11 May 2007, 10:00 pm
UBS Financial Services Ordered To Pay Over $3.5 Million in Sex Bias Case Plaintiff sued after she was put on Business Development Plan and fired 8 mos. later. [read post]
19 Apr 2007, 2:07 pm
Roberta Tse, a former financial adviser at one of UBS's flagship branches in Manhattan, sued UBS after she was put on a probationary plan in 2002 and fired eight months later.A more complete story is at Employment Law 360 UBS Ordered To Pay $3.5M In Sex Bias Case ($). [read post]
