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Academic

: Securities Law Prof Blog

Massachusetts Files Complaint Against UBS for Marketing of Auction Rate Securities

By Securites Lawprof

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The Massachusetts Securities Division has filed a complaint against UBS Securities LLC and UBS Financial Services, alleging violations of the Massachusetts Uniform Securities in connection with the sale of auction rate securities (ARS) to retail customers. According to the complaint,...

Full post as published by Securities Law Prof Blog on June 26, 2008 (boomark / email).

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UBS Schemed To Defaud Unsuspecting Investors So As To Unload Its Auction-Rate Securities Inventory, According To Complaint Filed By Massachusetts Securities Regulator

Regulator's Complaint Against UBS Securities Exposes Significant Conflicts Of Interest And Omissions In The Sale Of Auction-Rate Securities

Massachusetts Securities Regulator Sues Merrill Lynch Over Auction-Rate Securities As SNSFE Continues To Counsel Investors

UBS Agrees to Repurchase Illiquid Auction Rate Securities from Massachusetts Municipal Entities

New York Attorney General's Complaint Against UBS Securities Seeking Relief For Auction Rate Securities Purchasers Nationwide

Regulators Start Auction Rate Investigations

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