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Registered Rep.
December 22, 2006
Halah Touryalai |
Spitzer Wants More Settlement Dollars for New York UBS Reps New York Attorney General and Governor-elect Eliot Spitzer is asking a Northern California court to disapprove the settlement terms of an overtime suit against UBS.   |
Registered Rep.
September 13, 2007
Halah Touryalai |
Overtime Finally Pays Off Smith Barney brokers may be the first to cash in on overtime lawsuits that have been all the rage over the last two years. |
Registered Rep.
November 29, 2006
Halah Touryalai |
Merrill Lynch to Pay National Overtime Settlement The financial firm has decided to consolidate the numerous overtime lawsuits that have been filed against the firm and settle nationally with its brokers. |
Registered Rep.
April 28, 2003
Will Leitch |
Historic Settlement Doesn't Target Brokers -- But You're Hardly Home Free Now that the Wall Street global settlement is official, brokers might be inclined to heave a sigh of relief. Don't. While the settlement will have a lasting impact on the brokerage industry, brokers have been unscathed by the Spitzer investigations -- so far. |
Information Today
September 24, 2009 |
Google Book Search Settlement Hearing to Be Postponed On Sept. 22, the parties involved in the Google Book Search settlement have asked the federal court to postpone the scheduled Oct. 7 hearing to give them time to work with the U.S. Department of Justice so that the parties can amend the Settlement Agreement. |
Registered Rep.
July 14, 2008
Halah Touryalai |
Morgan Stanley Offers $50 million In Overtime Settlement The settlement covers all financial advisors, trainees, producing branch managers, assistant branch managers and sales managers who live outside of California and were employed with the New York-based firm between Sept. 1, 2002, and April 21, 2008. |
Registered Rep.
July 13, 2009 |
Swiss and U.S. Tension Rising Over UBS Tax Evasion Case The problem continues to be that Swiss banking laws -- which say tax fraud is illegal, but not tax evasion -- protect the names of the 52,000 American clients and giving them up would violate Swiss criminal law. |
Registered Rep.
February 9, 2006
John Churchill |
Pro Or Hourly Wage Earner? UBS Pays $89 Million to Settle Overtime Suits The settlement resolves claims that UBS incorrectly classified financial advisors and financial advisor trainees as exempt from overtime pay under federal and U.S. state laws. |
Registered Rep.
January 29, 2010
Kristen French |
UBS Morale Lifts A number of top financial advisors at the firm say that they are so far very pleased with the leadership of UBS Wealth Management CEO Bob McCann and his team. |
Information Today
May 17, 2010 |
Open Book Alliance Releases Comprehensive Analysis of Proposed Google Books Settlement The Open Book Alliance has released a comprehensive analysis that it says details how the proposed Google Books Settlement violates international laws and treaties. |
Registered Rep.
March 3, 2006
Halah Tourylai |
Third Wirehouse Coughs Up Millions In Overtime Cases Yesterday, Morgan Stanley became the third wirehouse, after Merrill Lynch and UBS, to settle class action suits with California brokers over overtime pay in the past seven months -- the second in three weeks. |
Registered Rep.
May 2, 2011
Diana Britton |
Securities America Moves One Step Closer to Finalizing Settlement After months at the negotiating table with clients who filed arbitration and class action claims against the firm, Securities America is one step closer to getting the OK on a $150 million settlement. |
PC World
November 1, 2001
Sumner Lemon |
Microsoft, Government May Make a Deal Proposed antitrust settlement would give PC makers more control over Windows desktops; deal could be finalized on Friday... |
InternetNews
September 25, 2009 |
Judge's Order Keeps Google Books in Limbo New York judge postpones fairness hearing for controversial settlement agreement in response to DoJ objections. |
Registered Rep.
June 3, 2003
Will Leitch |
Brokerage Chiefs in Spitzer's Sights When New York Attorney General Eliot Spitzer announced the $1.4 billion settlement of the securities conflict of interest case in April, his office warned that it was "the beginning, not the end." Wirehouses are finding out, in a big way, that he wasn't kidding. |
Information Today
March 31, 2011
George H. Pike |
Google Book Settlement Rejected: What's Next? Last week's rejection of the proposed settlement of the lawsuit between Google and a group of authors and publishers has thrown the future of the Google Book database into question. |
Registered Rep.
August 24, 2007
Halah Touryalai |
Overtime Claims Make Their Way To Schwab The lawyers involved in a number of overtime cases against major wirehouse firms, including UBS and Merrill Lynch, filed a new one against Charles Schwab in July. |
InternetNews
July 30, 2004
Susan Kuchinskas |
PayPal Payout Pending If you opened a PayPal account between October 1999 and January 2004, you may be entitled to a payment from a class action settlement. |
Registered Rep.
February 22, 2006
Halah Touryalai |
Brokers Headed for Sweep in Overtime Pay Cases? Stockbrokers have won their second big overtime pay case against Wall Street firms and this may only be the beginning of a rout that could cost brokerage houses many millions of dollars more. |
Registered Rep.
June 10, 2008 |
Would You Invest With Client No. 9? Eliot Spitzer, the disgraced former New York State governor once heralded as Sheriff of Wall Street, is mulling launching a distressed real estate fund. |
PC World
August 5, 2002
Joris Evers |
Microsoft Set to Act on Antitrust Settlement Software giant will carry out part of the proposed deal with the DOJ, even though judge has yet to approve it. |
Registered Rep.
April 1, 2008 |
Spitzenfreude Some on Wall Street think that Eliot Spitzer had it coming. |
Information Today
April 11, 2011 |
Library Copyright Alliance Releases Analysis of the Google Books Settlement Rejection The LCA comprises the American Library Association, the Association of Research Libraries, and the Association of College and Research Libraries. |
Registered Rep.
March 1, 2006
John Churchill |
Everybody Wants Their Overtime UBS said it has agreed to pay $89 million to settle class-action wage and hours claims of reps filed this past summer in several federal courts. |
Registered Rep.
December 1, 2006
Halah Touryalai |
Out with a Bang Eliot Spitzer may have less than a month left as New York State's attorney general, but the governor elect says there two new Wall Street cases he's taking on before year's end. |
Registered Rep.
February 9, 2010
Kristen French |
UBS Americas Bleeds More Client Assets in Q4, Advisor Attrition Way Down Clients continued to withdraw significant assets from the firm both in the U.S. and around the world. |
The Motley Fool
February 21, 2007
Mary Dalrymple |
Study Before Selling Your Life Insurance If you shun full-service brokers and their high commissions and fees, don't fall for a life settlement that's more in your advisor's interest than your own. |
InternetNews
October 28, 2010 |
Verizon Settles With FCC for $25M The $25 million settlement resolves charges that Verizon profited from millions of dollars in accidental data charges to customers over the past three years. |
Registered Rep.
September 25, 2002
Rick Weinberg |
NY Attorney General: I Could Have Nailed Merrill on More Serious Charges Eliot Spitzer said he could have pursued criminal charges against Merrill Lynch for its conflicts of interest in its research, but that he didn't want to "destroy" the firm or Wall Street. |
BusinessWeek
January 12, 2004 |
A White Knight For Mutual-Fund Investors No mutual-fund executive wants to get a phone call from Eliot Spitzer these days. |
Registered Rep.
March 12, 2008
Kristen French |
Advisors: No Love Lost On Spitzer Eliot Spitzer, who's dramatic demise over the past few days has been covered backwards and forwards by every media outlet in the country, is not getting a lot of sympathy from the financial community. |
Registered Rep.
December 1, 2007 |
Enough Is Not Enough A group of Morgan Stanley reps involved in a race-discrimination suit say a proposed $16-million settlement is just not enough. |
Investment Advisor
April 2010 |
B/D News Licensing for insurers and brokers... scamming Madoff victims... NASAA's settlement with UBS... |
BusinessWeek
September 2, 2010 |
Hard Choices: Joe Plumeri The chairman and CEO of insurance brokerage giant Willis Group on shunning contingent commissions and forgoing millions |
Registered Rep.
March 15, 2012
Kristen French |
Due Diligence: Step Back Rakoff, SEC-Citigroup Settlement Could Stand Judge Jed Rakoff may have overstepped his authority, said a federal appeals court today. In a procedural decision, the court wrote that the Securities and Exchange Commission has a good chance of overturning Rakoff's rejection of a $285 million SEC settlement with Citigroup. |
Registered Rep.
February 25, 2011
Jerry Gleeson |
Wells Fargo Settles Sex Discrimination Claims For $32 Million Wells Fargo Advisors has tentatively agreed to a $32 million settlement of a federal class-action gender discrimination lawsuit brought in 2009 by three women financial advisors who worked at its legacy Wachovia Securities brokerage. |
Registered Rep.
November 12, 2002
Rick Weinberg |
UBS PaineWebber to Hire 500 Brokers UBS PaineWebber Chairman Joseph Grano announced that the firm is going to hire up to 500 brokers during the next year. |
Registered Rep.
May 1, 2006
John Churchill |
Score One for Diversity UBS has hired a prominent black Smith Barney broker. |
InternetNews
September 11, 2007
Stuart J. Johnston |
States Request Microsoft Oversight Extension At a hearing Tuesday regarding the pending expiration of much of Microsoft's antitrust settlement, a group of states requested continued oversight of the software giant. |
InternetNews
July 22, 2010 |
FTC, Intel Talks Stretched Two More Weeks The deadline for Intel and the FTC to come to a settlement is tomorrow, but since they aren't ready to settle or go to court, it seems, the two sides have extended the deadline by two weeks. |
Salon.com
January 16, 2003
Arianna Huffington |
Cold feet Eliot Spitzer caved to Wall Street criminals. Maybe he decided that taking on the most powerful people in the country might not be the best strategy for a man considering a run for governor. |
Registered Rep.
December 1, 2005
Kristen French |
Where's My Money? After California brokers won $37 million in an overtime lawsuit against Merrill Lynch in August, a slew of copycat lawsuits have been filed against other brokerage firms, many of them in New York. |
Registered Rep.
August 7, 2008
John Churchill |
Citi Settles With SEC and Cuomo Over ARS Failure The firm has agreed to buy back auction rate securities sold to institutional and retail investors nationwide who've been stuck with the illiquid investment vehicles since February 12, 2008. |
InternetNews
November 16, 2009 |
Google Books Still Faces Criticism After Revision Google submitted to a federal court a revised version of a controversial settlement agreement with two author and publisher groups that would make millions of out-of-print books available online. Opponents of the deal argue that the changes are more cosmetic than substantive. |
Registered Rep.
November 1, 2005
John Churchill |
Market-Timer Banned and Fined Theodore Sihpol III, a former broker at Banc of America Securities (BAS), and poster boy for the market-timing scandals -- and the first target of Spitzer to say no to a plea offer -- has settled with the SEC. |
Registered Rep.
April 6, 2009
John Churchill |
IRS Circling, UBS Bans Travel for Some Advisors The United States' ongoing hunt for tax cheats will be putting a crimp in some clients' quarterly portfolio reviews. |
Registered Rep.
February 25, 2010
Kristen French |
Barclays Hires Rejects, Swiss Try to Save UBS Deal, SEC Curbs Shorts Many refugees from the collapse of 2008 ended up at Barclay's... The fate of UBS' U.S. tax-dodging clients is still up in the air... The Securities Exchange Commission voted to permanently curb short sales... |
InternetNews
September 10, 2009 |
Lawmakers Probe Google Book Search Google's controversial digital book project saw another wave of public scrutiny this morning, this time in the form of a House Judiciary Committee hearing on the competitive implications of its landmark settlement with authors and publishers. |
The Motley Fool
March 29, 2011
Alyce Lomax |
Another Big Problem for Wal-Mart The latest in Wal-Mart's plethora of problems has taken the company all the way to the Supreme Court. A proposed class action lawsuit would pit more than a million female employees against the corporate giant. |
Registered Rep.
November 1, 2004
John Churchill |
Exodus At UBS? This month, the contingent of PaineWebber brokers who remained at UBS following the 2000 merger will receive the final installment of their post-merger retention bonuses, perhaps triggering a mini-exodus of brokers come the first of the year. |
