Hutchinson Technology Incorporated, on Nov. 14, 2008, entered into an agreement with UBS AG, UBS Financial Services Inc. and UBS Securities LLC (collectively “UBS”) to resolve various matters.
On Nov. 14, 2008, the Company filed an action in U.S. District Court…
One of Grant Park Futures Fund Limited Partnership’s clearing brokers, UBS Securities LLC, still faces administrative complaints filed by the Securities Division of the Secretary of the Commonwealth of Massachusetts.
On June 27, 2007, the Massachusetts Securities Division filed an…
The specific terms of the global settlement between UBS Securities LLC, UBS Financial Services, Inc., and three government entities are being finalized, according to Grant Park Futures Fund Limited Partnership’s Form S-1 dated Oct. 3, 2008.
UBS Securities serves as one…
The New York Attorney General’s complaint against UBS Securities LLC, one of Grant Park Futures Fund Limited Partnership’s clearing brokers, is pending.
On July 24, 2008, the New York Attorney General filed a complaint in Supreme Court of the State…
UBS Securities LLC, one of Grant Park Futures Fund Limited Partnership’s clearing brokers, faces an administrative proceeding filed by the Texas State Securities board on July 22, 2008.
The Texas State Securities board filed an administrative proceeding against UBS Securities…