After leaving UBS in 2007, Ghavami worked in London for Lehman as head of Russian Capital Markets. In September 2009, he became head of global markets for Troika Dialog, a Moscow-based private investment bank. In a statement, Troika Dialog said it was aware of the Justice Department’s.
UBS Financial Services has told regulators that it fired Craig D. Findley, its acclaimed multi-billion dollar Ohio-based advisor, for violating firm policies The terse explanation of Findley’s dismissal was sent to state regulators in a summary of the firm’s U-5 termination notice that was reviewed by AdvisorHub.
Ex-Morgan Stanley Broker Loses Bid to Nullify $2.6 Mln Note Balance – AdvisorHub. Three former brokers can bring a class-action claim for overtime pay they allegedly earned as trainees in a non-Finra forum indie firm with 55 Brokers Hires Ex-Philadelphia Manager at Morgan Stanley – AdvisorHub.
Brazilians top website searches for Miami real estate “We made the offshore because the lawyers in America said it was the best way to buy an apartment in Miami. Many friends of mine, they do the same. They buy property with offshores.” Another wealthy.
Ex-UBS ‘Top’ Ohio Broker Registers as Indie after Unexpected Dismissal Broker whose three-state team oversaw more than $6 Merrill Hires UBS Manager and Former Training Head in New York Heather Gifford, a former head of training at UBS and most recently Northeast division sales manager.
He cites 8m documents he claims are located at UBS headquarters in Switzerland. "As a result I was convicted and given a 14-year prison sentence, later reduced to 11 years – one of Index will not be used after 2021 despite reforms put in place because banks no longer want to participate in setting it.
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UBS and Morgan Stanley denied that they contacted Parish to find out about his data-selling service. Several sources at Merrill said that representatives of the firm reached out to Parish after hearing he was meeting with other brokerages. Brush with controversy.
A ‘Sub-Broker’ is any person who is not a Trading Member of a Stock Exchange but who acts on behalf of a Trading Member as an agent or otherwise for assisting investors in dealing in securities through such Trading Members.
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Specialities "Registered Shares" No direct sale of registered shares which are registered in the client’s name. The registered shares have to be exchanged for bearer shares before they can be sold. This can take a few days.