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7 May 2013, 3:00 am by Adrian Miedema
That argument flows from a line of cases, of which Conforti v Investia Financial Services Inc, 2011 CanLII 60897 (ON LRB) is most notable. [read post]
29 Oct 2019, 9:00 am by Astarita
While her claims included a bit more, a former star broker for UBS Financial Services Inc. who was repeatedly called a "bitch" by her boss won a $1.6 million arbitration award last month.According to InvestmentNews.com, the broker, Chrisine Carona, worked for UBS in Boston from March 2009 through July 2017 and currently is employed by Morgan Stanley. [read post]
19 Sep 2013, 12:35 pm
Cuevas reported directly to the President & CEO on a variety of financial, policy and operational matters. [read post]
15 Apr 2015, 12:55 pm by Robert Van De Veire
Malecki Law announces the filing of a $10 million FINRA arbitration claim against UBS Financial Services, Inc. and UBS Financial Services Incorporated of Puerto Rico (collectively “UBS”) on behalf of former UBS Puerto Rico registered representatives, Jorge Bravo and Teresa Bravo (the “Bravos”). [read post]
9 Sep 2011, 6:27 am by Ben Vernia
In this case, the United States elected to intervene in only a portion of the allegations asserted by Ms. [read post]
26 Jun 2014, 5:00 am by Thomas Walton
Swenson sits on the boards of Harmonic Inc., Novatel Wireless Inc., and Spirent Communications plc; Ms. [read post]
13 Feb 2012, 9:44 am by William McGrath
Khan provided material, nonpublic inside information (including earnings information and financial information) relating to Polycom, Inc. and Google, Inc. [read post]
24 Jul 2020, 12:10 am by Public Employment Law Press
She has also served as Assistant Vice President and Counsel at AXA Financial, Inc. and as an Assistant District Attorney for the Kings County District Attorney's Office. [read post]
24 Jul 2020, 12:10 am by Public Employment Law Press
She has also served as Assistant Vice President and Counsel at AXA Financial, Inc. and as an Assistant District Attorney for the Kings County District Attorney's Office. [read post]
3 Dec 2018, 11:27 am by ccollins
A preliminary $182M settlement has been reached in a benchmark rigging lawsuit between investors and banks Citigroup Inc. [read post]