![]() ![]() ![]() The remainder will be paid to resolve related proceedings by state regulators. One-half of the total of these payments - $25 million - will be paid in connection with the SEC action and related proceedings by the NASD and NYSE and will be placed into a distribution fund for the benefit of customers of the firm. As part of the settlement, UBS Warburg has agreed to pay $25 million as disgorgement and an additional $25 million in penalties. ("NYSE"), the New York Attorney General, and other state regulators. This settlement, and settlements with nine other brokerage firms, are part of the global settlement the firms have reached with the Commission, NASD, Inc., the New York Stock Exchange, Inc. The Securities and Exchange Commission announced today that it has settled charges against UBS Warburg LLC, a Connecticut-based brokerage firm and investment bank, arising from an investigation of research analyst conflicts of interest. SEC SUES UBS WARBURG FOR RESEARCH ANALYST CONFLICTS OF INTEREST FIRM TO SETTLE WITH SEC, NASD, NYSE, NY ATTORNEY GENERAL, AND STATE REGULATORS Vimeo installs this cookie to collect tracking information by setting a unique ID to embed videos to the website.Litigation Release No. Some of the data that are collected include the number of visitors, their source, and the pages they visit anonymously. Installed by Google Analytics, _gid cookie stores information on how visitors use a website, while also creating an analytics report of the website's performance. The pattern element in the name contains the unique identity number of the account or website it relates to. The cookie stores information anonymously and assigns a randomly generated number to recognize unique visitors.Ī variation of the _gat cookie set by Google Analytics and Google Tag Manager to allow website owners to track visitor behaviour and measure site performance. The _ga cookie, installed by Google Analytics, calculates visitor, session and campaign data and also keeps track of site usage for the site's analytics report. These cookies help provide information on metrics the number of visitors, bounce rate, traffic source, etc. It does not store any personal data.Īnalytical cookies are used to understand how visitors interact with the website. The cookie is set by the GDPR Cookie Consent plugin and is used to store whether or not user has consented to the use of cookies. The cookie is used to store the user consent for the cookies in the category "Performance". This cookie is set by GDPR Cookie Consent plugin. The cookie is used to store the user consent for the cookies in the category "Other. The cookies is used to store the user consent for the cookies in the category "Necessary". The cookie is set by GDPR cookie consent to record the user consent for the cookies in the category "Functional". The cookie is used to store the user consent for the cookies in the category "Analytics". Set by the GDPR Cookie Consent plugin, this cookie is used to record the user consent for the cookies in the "Advertisement" category. These cookies ensure basic functionalities and security features of the website, anonymously.Īssociated with Amazon Web Services and created by Elastic Load Balancing, AWSELB cookie is used to manage sticky sessions across production servers. Necessary cookies are absolutely essential for the website to function properly.
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