UBS AG is a Swiss global financial services company, incorporated in the Canton
of Zurich, .... UBS Investment Bank provides services covering securities, other
financial products, and research in e...
May 23, 2016 ... UBS Securities LLC's statement of financial condition.
UBS Securities LLC was formerly known as UBS Warburg LLC and changed its
name to UBS Securities LLC in June 2003. The firm was founded in March 1978
Jan 15, 2015 ... UBS Securities LLC agreed to settle the charges by paying more than $14.4
million, including a $12 million penalty that is the SEC's largest ...
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employment history, certifications, licenses and any violations for brokers and ...
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Jan 15, 2015 ... UBS Securities LLC agreed Thursday to pay more than $14.4 million to the
Securities and Exchange Commission to settle charges related to ...
against his former employer, UBS Securities,. TREVOR MURRAY, Plaintiff, -v-
UBS SECU-. RITIES, LLC and UBS AG, Defendants. Core Terms whistleblower ...
Financial Interest. SCOTT WINFREE ANDERSON, CHIEF COMPLIANCE
OFFICER, NO. DAVID ANDREW BLEUSTEIN, MANAGING MEMBER-LLC OR