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UBS - Wikipedia

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

Nov 3, 2016 ... UBS Securities LLC's statement of financial condition.

Our financial services around the globe | UBS Global topics

www.ubs.com/

UBS is a global firm providing financial services in over 50 countries. ... CIO Wealth Management · UBS Securities research · Asset Management research ...

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 LLC - Securities and Exchange Commission

www.sec.gov/litigation/admin/2013/33-9438.pdf

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

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 ...

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 - 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 ...

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 ...

NASDAQ OMX GROUP INC LLC v. UBS SECURITIES LLC | FindLaw

caselaw.findlaw.com/us-2nd-circuit/1682304.html

Oct 31, 2014 ... Case opinion for US 2nd Circuit NASDAQ OMX GROUP INC LLC v. UBS SECURITIES LLC. Read the Court's full decision on FindLaw.

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Our financial services in your country | UBS United States

www.ubs.com

Investment Banking. Securities products, research, advisory services and access to global capital markets. Overview. Asset Management. Investment solutions ...

UBS Securities LLC: Private Company Information - Businessweek

www.bloomberg.com

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  ...

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.