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26 Nov 2019, 6:50 am
According to FINRA Disciplinary actions for October 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bender, Charles Suntrust Investment Services, Inc JP Morgan Securities Bingham, Daniel Essex Securities Investors Capital Corp Devaney, Patrick… [read post]
10 Apr 2011, 8:45 pm
This means that a situation much like the jurisdictional circumstances that exist in the UBS AG case and the recently announced HSBC Bank USA case will exist. [read post]
1 Jul 2010, 10:00 pm
Swiss authorities have already frozen a one million dollar bank account at UBS AG connected to Mr. [read post]
5 Jan 2009, 9:00 am
There was the bribery scandal at Siemans AG and the auction rate securities cases against Citigroup and UBS, Wachovia and Merrill Lynch. [read post]
19 Nov 2010, 5:01 am
Consider UBS AG’s Return Optimization Securities with Contingent Protection, which was priced in July. [read post]
24 Jul 2011, 8:40 pm
Similar language was used in the criminal complaint against UBS AG. [read post]
21 Sep 2016, 7:07 am
From 1992 through January 2011 Salem was registered with UBS Financial Services, Inc. [read post]
7 Feb 2008, 4:21 pm
Responding to the subprime mortgage-market collapse, DOJ’s emissaries are now getting into the act that’s kept the SEC and a few state AGs in high gear lately. [read post]
7 Oct 2011, 12:44 pm
Two years ago, UBS AG, Switzerland’s largest bank, agreed to pay $780 million in fines, penalties, interest, and restitution for helping American customers evade taxes. [read post]
13 Sep 2012, 9:30 pm
Reportedly, Morgan Stanley and UBS Investment Bank have been hired by Cole Credit Property Trust II to explore their options for the exit event. [read post]
21 Sep 2016, 7:07 am
From 1992 through January 2011 Salem was registered with UBS Financial Services, Inc. [read post]
12 May 2010, 8:01 am
Morgan Stanley did not market the deals to customers--the Jackson deal was underwritten and marketed by Citigroup and the Buchanan deal was underwritten and marketed by UBS AG. [read post]
17 May 2011, 6:00 pm
Remember, there were at least 50,000 account holders at UBS AG who thought that the Swiss bank Secrecy laws would protect them. [read post]
17 Feb 2011, 9:27 am
Participation in the program was encouraged by news reports that a giant Swiss bank, UBS AG had begun to turn over records to the US Treasury that would uncover many secret accounts held by US citizens. [read post]
9 Aug 2012, 5:03 am
Deal: Federal prosecutors have offered a leniency deal to former traders and other employees at UBS AG in exchange for cooperation in the government's ongoing interest-rate manipulation probe, The Wall Street Journal reports. [read post]
13 Sep 2012, 9:30 pm
Reportedly, Morgan Stanley and UBS Investment Bank have been hired by Cole Credit Property Trust II to explore their options for the exit event. [read post]
1 Dec 2011, 1:58 pm
In February 2009 FINRA awarded $406.6 million to STMicroelectronics N.V. in a fight with Credit Suisse Group AG, followed by a $80.8 million award to Kajeet Inc. against UBS AG in August 2010, and a $54.1 million payout to Colorado patent litigator Gerald Hosier and others in April 2011 over a squabble with Citigroup. [read post]
2 Feb 2018, 7:11 am
Rather, he noted the overarching theme of the meeting was to focus on process, though observing “we are now living in an age that is not big on process, but often prefers to emphasize ‘likes’ and tweetable sound bites. [read post]
31 May 2013, 10:32 am
In the wake of this settlement, investigative agencies around the world began to look deeper into Libor rate fixing, leading to a $750 million settlement by the Royal Bank of Scotland and a record-setting $1.5 billion settlement by UBS AG. [read post]
29 May 2020, 11:28 am
From November 2012 until October 2018 Santiago was registered with UBS Financial Services Inc. [read post]
