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3 Nov 2015, 7:21 am
On October 13, 2015, the Securities and Exchange Commission (“SEC”), in its first case against an issuer of retail structured notes, filed an Order Instituting Cease and Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings and Imposing Remedial Sanctions and a Cease and Desist Order (the “Order”) against UBS AG (“UBS”). [read post]
23 Oct 2015, 6:48 am
It is part of a broader U.S. crackdown on undeclared offshore accounts that has ensnared big Swiss banks such as UBS Group AG, but has received scant attention because it mostly involves little-known firms and relatively small fines. [read post]
14 Oct 2015, 6:03 pm
Have you suffered investment losses in UBS’ V10 Enhanced FX Carry Strategy? [read post]
13 Oct 2015, 2:59 pm
The UBS V10 Currency Index with Volatility Cap is a proprietary index, developed and sponsored by UBS AG that measures the performance of a notional algorithmic trading strategy designed to identify and exploit trends in G10 foreign exchange forward rates. [read post]
13 Oct 2015, 1:37 pm
Those cases received a boost today as the SEC announced that UBS AG has agreed to pay $19.5 million to settle charges that it made false or misleading statements and omissions in offering materials provided to U.S. investors in structured notes linked to a proprietary foreign exchange trading strategy.Structured notes are complex financial products that typically consiss of a debt security with a derivative tied to the performance of other securities, commodities, currencies, or… [read post]
28 Aug 2015, 8:15 am
Stein has voiced her objections to waivers on at least two other occasions regarding Deutsche Bank AG and for multiple waivers granted to UBS AG, Barclays Plc, Citigroup Inc., JPMorgan Chase & Co., and the Royal Bank of Scotland Group Plc. [read post]
31 Jul 2015, 5:34 pm
The Internal Revenue Service was suing UBS AG to get the identities of Americans with secret accounts. [read post]
6 Jul 2015, 4:25 pm
., Credit Suisse Group AG, Deutsche Bank AG, Goldman Sachs Group, JPMorgan Chase & Co., Morgan Stanley, State Street Corporation, UBS AG, and Wells Fargo & Company. [read post]
29 Jun 2015, 10:56 am
On June 18, 2015, Justice Marcy Friedman of the New York Supreme Court dismissed RMBS fraud claims brought by Commerzbank AG London Branch (“Commerzbank”) against UBS, Nomura Holdings Inc., Barclays Bank PLC, Citigroup and other banks on the grounds that the fraud claims at issue were barred by the statute of limitations. [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]
20 May 2015, 4:43 pm
., Barclays PLC, The Royal Bank of Scotland plc and UBS AG – have agreed to plead guilty to felony charges. [read post]
12 May 2015, 3:30 pm
Brokerage firms that sell RCNs are required to evaluate whether they are suitable given the investor’s age, risk tolerance and investment objectives, net worth, and investment experience. [read post]
12 May 2015, 3:26 pm
Brokerage firms that sell RCNs are required to evaluate whether they are suitable given the investor’s age, risk tolerance and investment objectives, net worth, and investment experience. [read post]
16 Apr 2015, 11:14 am
In another chapter of the continuing legal troubles facing UBS, AG and UBS Financial Services of Puerto Rico, Inc. [read post]
29 Mar 2015, 4:30 am
Supreme Court over trademark infringement http://t.co/1cGgM2FM64 -> Bank of Montreal sues UBS AG to recover data allegedly stolen from defectors http://t.co/DfaCJ7YvWg -> Canadian Bar Association condemns Harper’s anti-terror bill http://t.co/b9xcg9MoFz -> Top Business Risks For Cloud Computing http://t.co/A8HdeZvkgD -> CBS Sued Over 'Hawaii Five-O' Theme by Composer's Family http://t.co/dNaPw7W5Hl -> Piracy-powered video streaming platform… [read post]
28 Mar 2015, 12:24 pm
Although I have daughters who are the ages of many of the students I work with, they are a poor sample for this sort of thing, because they grew up with my meshugenas. [read post]
23 Mar 2015, 4:30 am
Supreme Court over trademark infringement http://t.co/1cGgM2FM64 -> Bank of Montreal sues UBS AG to recover data allegedly stolen from defectors http://t.co/DfaCJ7YvWg -> Canadian Bar Association condemns Harper’s anti-terror bill http://t.co/b9xcg9MoFz -> Top Business Risks For Cloud Computing http://t.co/A8HdeZvkgD -> CBS Sued Over 'Hawaii Five-O' Theme by Composer's Family http://t.co/dNaPw7W5Hl -> Piracy-powered video streaming platform… [read post]
12 Mar 2015, 7:58 am
Rebecca Sorensen, senior vice president for wealth management at UBS Financial Services, said most of the donated funds have been placed in a trust “that will someday provide an income stream when he retires. [read post]
9 Mar 2015, 7:55 am
Additionally, brokerage firms are required to ensure that all investment recommendations made are suitable in light of the client’s age, investment experience, investment objectives, net worth, and income. [read post]
5 Mar 2015, 5:52 am
Since Daimler AG v. [read post]
