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UBS

en.wikipedia.org/wiki/UBS

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...

Information for UBS Securities LLC

www.ubs.com/global/en/investment-bank/llc-financials.html

Jul 27, 2016 ... UBS Securities LLC's statement of financial condition.

UBS Securities LLC Statement of Financial Condition

www.ubs.com/global/en/investment-bank/llc-financials/_jcr_content/par/linklist_1/link_4.2090922123.file/bGluay9wYXRoPS9jb250ZW50L2RhbS9JbnZlc3RtZW50QmFuay9kb2N1bWVudHMvbGxjLWZ1dHVyZXMtY29tbWlzc2lvbi91YnMtc2VjdXJpdGllcy1sbGMtc3RhdGVtZW50LWZpbmFuY2lhbC1jb25kaXRpb24tanVuZS0yMDE1LnBkZg==/ubs-securities-llc-statement-financial-condition-june-2015.pdf

Jun 30, 2015 ... Securities purchased under agreements to resell ... UBS Securities LLC (the “ Company”) is an indirect wholly-owned subsidiary of UBS AG (the.

SEC.gov | SEC Charges UBS Subsidiary With Disclosure Violations ...

www.sec.gov/news/pressrelease/2015-7.html

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 ...

Ubs Securities LLC - Financial Services Firm - BrightScope Advisor ...

www.brightscope.com/financial-planning/firm/6475/Ubs-Securities-LLC/

Jan 7, 2016 ... Contact Ubs Securities LLC or view Ubs Securities LLC's ratings, investment advice, financial planning and insurance services, and get ...

BrokerCheck - UBS SECURITIES LLC

brokercheck.finra.org/firm/7654

Get information about UBS SECURITIES LLC on Finra BrokerCheck. View employment history, certifications, licenses and any violations for brokers and ...

UBS Securities to Pay $14M to SEC Over Dark Pool Violations

www.thinkadvisor.com/2015/01/15/ubs-securities-to-pay-14m-to-sec-over-dark-pool-vi

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 ...

Notice of Disciplinary Action against UBS Securities LLC, a Member ...

www.nasdaqtrader.com/content/marketregulation/phlxreg/2015-12UBSSecurities.pdf

Dec 29, 2015 ... disciplinary decision against UBS Securities LLC (“UBS” or the “Firm”), a member organization of the Exchange. In response to a Statement of ...

Murray v. UBS

www.law.du.edu/documents/corporate-governance/securities-matters/Murray-v-UBS-Securities.pdf

May 21, 2013 ... he made a report to the Securities and Exchange Commission (“SEC” ... Defendant UBS Securities LLC, a Delaware corporation and a wholly ...

UBS Securities LLC SWIFT BIC Code, Wire Transfer to United States

swiftcodes.org/bank/ubs-securities-llc/

SWIFT, IBAN, BIC code for UBS Securities LLC in USD currency wire transfers to United States.

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UBS Securities LLC Statement of Financial Condition

www.ubs.com

Dec 31, 2015 ... Securities Exchange Act of 1934 and Rule 17a-5 Thereunder ... respects, the financial position of UBS Securities LLC at December 31, 2015, ...

UBS Securities LLC - Securities and Exchange Commission

www.sec.gov

Jan 15, 2015 ... In the Matter of. UBS SECURITIES LLC. Respondent. ORDER INSTITUTING ADMINISTRATIVE. AND CEASE-AND-DESIST PROCEEDINGS.

UBS Securities LLC - Securities and Exchange Commission

www.sec.gov

Aug 6, 2013 ... In the Matter of. UBS SECURITIES LLC,. Respondent. ORDER INSTITUTING ADMINISTRATIVE AND. CEASE-AND-DESIST PROCEEDINGS.