{"id":62,"date":"2007-03-14T00:08:55","date_gmt":"2007-03-14T00:08:55","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2007\/03\/nyse_regulation_fines_swiss_am"},"modified":"2021-09-20T15:42:49","modified_gmt":"2021-09-20T20:42:49","slug":"nyse-regulation-fines-swiss-am","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/nyse-regulation-fines-swiss-am\/","title":{"rendered":"NYSE Regulation Fines Swiss American Securities Inc. and UBS Securities, LLC For Violations"},"content":{"rendered":"

\t\t\t\tNYSE Regulation says it has ordered Swiss American Securities Inc. (a unit of Credit Suisse Group) and UBS Securities LLC to pay fines for a number of securities violations. <\/p>\n

The regulatory arm of the New York Stock Exchange says UBS Securities is being fined $95,000 for canceling or entering limit-on-close and market-on-close orders in a number of securities after relevant cut-off times. These violations happened between June 2005 and February 2006. Other violations were also cited as reasons for the fine. <\/p>\n

Swiss American Securities was fined $100,000 because it failed to maintain control or possession of all excess and fully paid margin securities that it held for customer accounts (in 2004 and 2005), as well as other violations.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

NYSE Regulation says it has ordered Swiss American Securities Inc. (a unit of Credit Suisse Group) and UBS Securities LLC to pay fines for a number of securities violations. The regulatory arm of the New York Stock Exchange says UBS Securities is being fined $95,000 for canceling or entering limit-on-close and market-on-close orders in a […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3755],"tags":[],"class_list":["post-62","post","type-post","status-publish","format-standard","hentry","category-ubs"],"yoast_head":"\nNYSE Regulation Fines Swiss American Securities Inc. and UBS Securities, LLC For Violations — Investor Lawyers Blog — March 14, 2007<\/title>\n<meta name=\"description\" content=\"NYSE Regulation says it has ordered Swiss American Securities Inc. 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