Search for: "UBS Securities, LLC "
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9 Feb 2024, 7:29 am
UBS Securities LLC et al., case number 22-660, before the Supreme Court of the United States. [read post]
9 Feb 2024, 6:20 am
UBS Securities, LLC, issued on February 8. [read post]
8 Feb 2024, 11:43 am
UBS Securities, LLC, a Sarbanes-Oxley Act (SOX) whistleblower case with widespread implications for the ability of whistleblowers to seek anti-retaliation protections under federal whistleblower laws. [read post]
8 Feb 2024, 10:12 am
UBS Securities, LLC. [read post]
7 Feb 2024, 9:00 pm
UBS Securities, LLC: The court held that under the whistleblower provision of the Sarbanes-Oxley Act, a whistleblower is not required to prove that his employer acted with retaliatory intent. [read post]
1 Feb 2024, 11:55 am
Morgan Securities LLC Wells Fargo Clearing Services, LLC Stalin Cruz SW Financial Windsor Street Capital, L.P. [read post]
25 Jan 2024, 8:35 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
12 Jan 2024, 3:08 am
UBS Securities, LLC Status: Briefed, Argued and Awaiting Decision On October 10, 2023, the Justices heard oral arguments in Murray v. [read post]
5 Jan 2024, 1:41 pm
UBS Financial Servies Inc. [read post]
27 Dec 2023, 8:45 am
UBS Financial Services Inc. [read post]
20 Nov 2023, 9:01 pm
Madoff Investment Securities LLC (BLMIS) was a Ponzi scheme led to its liquidation under the Securities Investor Protection Act (SIPA).1 A SIPA liquidation is designed to collect “customer property” for ratable distribution among customers based on their “net equity” — investments minus withdrawals (i.e., loss of principal).2 SIPA largely incorporates the Bankruptcy Code and allows the SIPA trustee to recover property transferred by the debtor… [read post]
9 Nov 2023, 6:29 am
His previous employers include UBS Financial Services Inc. [read post]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
2 Nov 2023, 6:55 am
His previous employers include Wells Fargo Advisors, LLC (CRD# 19616) of Hallandale, FL, UBS Financial Services Inc. [read post]
1 Nov 2023, 6:00 am
UBS Securities: Under the Sarbanes-Oxley Act of 2002, when a whistleblower invokes the Act and claims he was fired because of his report, his claim is “governed by the legal burdens of proof set forth in section 42121(b) of title 49, United States Code. [read post]
25 Oct 2023, 12:49 pm
Ramon Perez Morgan Stanley UBS Financial Services Inc. [read post]
11 Oct 2023, 8:21 am
UBS Securities, LLC, in which the court was asked to consider whether publicly traded companies can discriminate against employees who report wrongdoing within the company. [read post]
10 Oct 2023, 4:44 pm
UBS Securities LLC, he represents the defendant, an investment banking firm in a case brought under the Sarbanes-Oxley Act alleging retaliation against a whistleblower. [read post]
10 Oct 2023, 11:51 am
UBS Securities, LLC, a Sarbanes-Oxley Act (SOX) whistleblower case with widespread implications for the ability of whistleblowers to seek anti-retaliation protections under federal whistleblower laws. [read post]
3 Oct 2023, 9:01 pm
According to the SEC, shortly before a securities offering, the Company issued two press releases saying that a screening test that it had developed could be used by consumers to detect COVID-19. [read post]
