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...
Oct 14, 2016 ... UBS Securities LLC's statement of financial condition.
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, ...
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 ...
Aug 6, 2013 ... In the Matter of. UBS SECURITIES LLC,. Respondent. ORDER INSTITUTING
ADMINISTRATIVE AND. CEASE-AND-DESIST PROCEEDINGS.
Aug 25, 2005 ... UBS SECURITIES LLC. 299 Park Avenue. New York, NY 10171. UBS
FINANCIAL SERVICES INC. 1285 Avenue of the Americas. New York ...
Get information about UBS SECURITIES LLC on Finra BrokerCheck. View
employment history, certifications, licenses and any violations for brokers and ...
Jan 7, 2016 ... Contact Ubs Securities LLC or view Ubs Securities LLC's ratings, investment
advice, financial planning and insurance services, and get ...
May 21, 2013 ... he made a report to the Securities and Exchange Commission (“SEC” ...
Defendant UBS Securities LLC, a Delaware corporation and a wholly ...
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 ...