Search for: "Assistant UBS Financial Services LLC"
Results 1 - 20
of 24
Sorted by Relevance
|
Sort by Date
30 Jun 2022, 10:25 am
Securities and Exchange Commission (SEC) has announced a landmark settlement with UBS Financial Services Inc. related to the firm’s Yield Enhancement Strategy (YES). [read post]
17 Oct 2014, 7:07 am
According to InvestmentNews, UBS Financial Services Inc. of Puerto Rico has agreed to pay $1.7 million to investors to settle allegations that some investors were placed into unsuitable closed-end bond funds. [read post]
18 Feb 2010, 2:00 pm
" An investigation by the Attorney General into the auction rate securities market found that UBS Securities LLC and UBS Financial Services, Inc. [read post]
7 Oct 2021, 12:18 pm
He was previously employed with Wachovia Securities, LLC (CRD#:19616), also of Boca Raton, UBS Financial Services Inc. [read post]
19 Sep 2023, 11:56 pm
A promissory note, often called an up-front forgivable loan, is commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley, Merrill Lynch, Wells Fargo, Ameriprise, and UBS Financial Services. [read post]
9 Oct 2017, 7:46 am
The district court decision in UBS Financial Svcs., Inc. v. [read post]
17 Sep 2017, 7:30 pm
The Company helps meet the growing demand for private education loans by providing national and regional financial institutions and educational institutions, as well as businesses and other enterprises, with an integrated suite of design, implementation and securitization services for student loan programs tailored to meet the needs of their respective customers, students, employees and members. [read post]
1 May 2023, 8:42 am
(CRD#:594), BOSTON, MA, B, 11/16/2018 – 05/22/2020, MORGAN STANLEY (CRD#:149777), WILLIAMSVILLE, NY B, 12/06/2013 – 11/27/2018, UBS FINANCIAL SERVICES INC. [read post]
16 Sep 2009, 1:32 am
A subscription to LAW.COM is needed for online access to this service. [read post]
9 Nov 2009, 12:00 am
A subscription to LAW.COM is needed for online access to this service. [read post]
26 Apr 2023, 8:29 am
UBS Securities, LLC. [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]
4 Nov 2009, 7:59 am
These comments can be found here. **** Brian Fitzgibbon - CEO of Fitzgibbon Toigo & CO., LLC Without placement agent assistance, some of the best fund managers may never get to market. [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]
20 Feb 2008, 7:57 am
Shortly after Ambac Financial Group, the insurer of student loan debt issued by Vermont's Student Assistance Corp., lost its AAA credit rating, the interest rate was reset from 5% to 18%. [read post]
13 Aug 2009, 1:02 am
Mark Shelnutt's lawyers complain in court filings that Assistant U.S. [read post]
9 Jun 2009, 6:50 am
The Protocol for Broker Recruiting was developed in 2004 among Citigroup’s Smith Barney, Merrill Lynch and UBS Financial Services. [read post]
21 Aug 2012, 5:15 pm
The losses Edgar sold were purportedly non-passive partnership losses generated by Creative Financial Solutions, LLC and Why Not Entertainment, LLC, both of which Edgar managed and controlled. [read post]
19 Jan 2022, 1:21 pm
Renaissance Technologies, LLC. [read post]
19 Jan 2022, 1:21 pm
Renaissance Technologies, LLC. [read post]
