Search for: "UBS Investment Bank"
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10 Jul 2009, 6:47 am
After establishing this "scheme" in which Bank of the West invested over $95 million, UBS relied on a "highly questionable" event of default to liquidate the CDO at what Bank of the West contends were low prices and to seize Bank of the West's $95 million investment and over $900 million that others had invested in TABS. [read post]
22 Aug 2018, 2:31 pm
Investment banking company UBS announced that Jason Lowy, Kyle Harris and Nicholas Barbieri have been named to the Forbes 2018 List of America’s Top Next Generation Wealth Advisers. [read post]
14 Aug 2018, 6:09 am
He persuaded clients to invest in a “highly-sought-after” private fund that would diversify their portfolios and provide investment returns as high as 20%, exceeding the returns they would receive with investments at UBS. [read post]
1 Apr 2019, 7:54 am
Still, UBS and other investment firms – including Bank of America’s Merrill Lynch (BAC), Credit Suisse (CS), and Morgan Stanley (MS) – have reportedly continued to market Yield Enhancement Strategies to investors despite the ongoing losses. [read post]
10 Dec 2007, 4:36 am
UBS, Citigroup and Credit Suisse are joint global coordinaters, while investment banks Deutsche Bank and Goldman Sachs are joint bookrunners, the publication said. [read post]
25 May 2011, 12:20 pm
While the SEC has done a good job with this investigation and result, the magnitude of UBS' illicit practices is further evidence that the major banks and wire houses are incented to engage in such practices until caught. [read post]
8 Dec 2011, 1:56 am
A High Court judge today refused to overturn a ‘possession order’ granted to investment bank UBS, which owns the complex in the City of London.” Full story The Independent, 7th December 2011 Source: www.independent.co.uk [read post]
3 Jun 2011, 2:30 pm
Kobayashi marketed LSP as a pooled investment fund that invested in life insurance policies. [read post]
16 Jul 2018, 2:09 pm
As Puerto Rico’s bond crisis continues, the evidence is continuing to mount that brokers and investment advisors at large investment firms such as UBS Puerto Rico, Santander and Popular Securities are largely responsible for retirees’ and other individuals’ investment losses. [read post]
9 May 2020, 12:43 pm
The investment attorneys with Gana Weinstein LLP are investigating investors who were inappropriately recommended UBS ETRACs related investments. [read post]
12 May 2008, 3:33 pm
As reported by Forbes.com, the Swiss banking giant confirmed that it has entered into an agreement with the State of Massachusetts to return the amount of the investments. [read post]
29 Sep 2015, 2:47 pm
The Securities and Exchange Commission settled charges against UBS Financial Services of Puerto Rico for failing to supervise former broker, Jose Ramirez Jr. who allegedly had customers invest in funds using money borrowed from a UBS Puerto Rico affiliated bank. [read post]
7 Aug 2013, 8:21 am
In another in a series of mortgage backed securities fraud cases against major investment banks, the SEC announced on Tuesday that UBS agreed o to pay $50 million to settle federal accusations that it misled investors about a complex mortgage security, a transaction that loomed over the government’s recent legal battle with a former Goldman Sachs trader blamed for his role in creating a similar security. [read post]
27 Mar 2023, 4:05 am
FINRA Doesn't Bank On It When It Comes To Wife Of Former UBS Employee (BrokeAndBroker.com Blog) DOJ RELEASES SEC RELEASES CFTC RELEASES FINRA RELEASES = = =3/27/2023 FINRA Doesn't Bank On It When It Comes To Wife Of Former UBS Employee (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6961/finra-ubs-motherway/A former UBS rep sued his former UBS investment adviser… [read post]
10 Sep 2009, 7:16 am
Burned investors from European and regional banks to pension funds and bond insurers have sued banks alleging they created and peddled similar securities at the height of the mortgage boom and portrayed them as safe, low-risk investments. [read post]
18 Sep 2019, 7:54 am
UBS has now removed YES from its website and investment platform and has once again shut the strategy down to new money. [read post]
15 Feb 2010, 4:38 am
Following hard on the heels of the report concerning the indictment of the former Goldman Sachs trader, a brief report from Here is the City (a financial markets news aggregator), saying that Traders magazine is reporting that an arbitration case against three former UBS employees alleged to have stolen an algorithmic trading code has ruled in favor of the former employees. [read post]
15 Feb 2010, 4:38 am
Following hard on the heels of the report concerning the indictment of the former Goldman Sachs trader, a brief report from Here is the City (a financial markets news aggregator), saying that Traders magazine is reporting that an arbitration case against three former UBS employees alleged to have stolen an algorithmic trading code has ruled in favor of the former employees. [read post]
4 Aug 2008, 11:45 am
David Aufhauser, the GC of UBS’ investment banking arm, has resigned from the firm, reports the WSJ’s Liz Rappaport. [read post]
14 Aug 2023, 11:00 am
Investment banks packaged and sold bundles of mortgages to institutional buyers. [read post]
