Search for: "UBS AG"
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9 Mar 2012, 11:55 am
Financial professionals and brokerage firms have a duty to recommend only investments that are appropriate for the client in light of the client’s age, investment experience, net worth, and investment objectives. [read post]
3 Jul 2014, 7:10 pm
., Credit Suisse Group AG, Deutsche Bank AG, Goldman Sachs Group, HSBC Holdings plc, JPMorgan Chase & Co., Morgan Stanley, State Street Corporation, UBS AG, and Wells Fargo & Company. [read post]
30 Oct 2007, 1:07 am
Damage across Wall Street has topped $27 billion, including $3.4 billion at UBS AG, a Swiss bank whose head of investment banking resigned a month ago. [read post]
12 Dec 2011, 6:48 am
., UBS AG and Bank of America Corp. settled similar charges. [read post]
3 Dec 2010, 1:16 pm
Last month, Picard sued UBS AG for at least $2 billion, claiming the company also helped Madoff in his fraud. [read post]
22 Jan 2008, 8:34 am
You know, there are a lot of people who went to UB that have done good things-- why pick guys like this? [read post]
10 Feb 2011, 6:15 am
UBS AG (download here), decided late last month in Connecticut District Court. [read post]
18 Apr 2023, 12:48 pm
The Federal Reserve’s Board of Governors said it has approved UBS Group AG’s acquisition of the U.S. subsidiaries of Credit Suisse, clearing another major hurdle for the completion of the Swiss-brokered rescue deal. [read post]
25 Sep 2009, 7:54 am
Defendants include, but are not limited to, Merrill Lynch & Co., Inc., Morgan Stanley, JP Morgan Chase & Co., Bear Stearns & Co., Inc., AIG Financial Products Corp., UBS AG, and Piper Jaffray & Co. [read post]
18 Jun 2015, 12:37 pm
When a registered representative takes advantage of their client, either by preying upon their inexperience, age, or medical condition, that broker may be subject to discipline by FINRA. [read post]
10 Aug 2012, 6:47 am
This time the CDs allegedly contain stolen data of the Swiss bank UBS AG and clients of another smaller Swiss bank. [read post]
12 May 2010, 12:35 pm
Citigroup Inc. underwrote and marketed the Jackson deal to investors, while UBS AG did the same for the Buchanan deal, according to the article. [read post]
8 Nov 2013, 6:02 am
Currently, he is employed with UBS Financial Services. [read post]
27 May 2011, 8:25 pm
In a separate incident, Lucille Jackson of Hillsdale was charged and convicted of filing a false federal tax return that did not include income from a foreign bank account in which she had $750,000 with UBS AG of Switzerland. [read post]
27 Jun 2007, 2:07 am
About ten years or so ago a group of recent UB Law grads decided to walk across the ice on Lake Erie over to Canada. [read post]
10 Oct 2014, 9:20 am
Although the antitrust division has granted immunity to Switzerland’s largest bank, UBS AG, in exchange for evidence of misconduct, UBS still faces action by the criminal fraud division. [read post]
26 Jul 2011, 5:09 am
Hiding Income Offshore Scam The age-old tactic of keeping an undeclared offshore bank account in some tax haven like Switzerland is rapidly becoming less appealing with the IRS’ much-publicized tussle with UBS Bank of Switzerland two years ago and the more current HSBC India. [read post]
13 Jul 2010, 11:46 am
The company had been facing more than 13,000 suits alleging Glaxo hid the drug’s heart-attack risk, according to a UBS AG analyst. [read post]
18 Apr 2008, 9:47 am
UBS AG told the leaders of its investment banking unit to ready job cuts of 10 percent "across the board. [read post]
13 Aug 2009, 10:00 pm
The IRS for example, served a domestic summons on UBS AG, headquartered in Zurich, as discussed in "UBS & Its 'John Doe' Summons" & "A Domestic Subpoena / Summons In An Offshore Asset Search". [read post]
