Search for: "UBS Ag"
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4 Aug 2010, 4:02 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS AG to pay $80.8 million to a Maryland cellphone marketer for lost profits when its cash was frozen in auction-rate securities in early 2008, according to an August 4, 2010 Wall Street Journal article by Randall Smith, “UBS to Pay $80 Million in Auction-Rate Case. [read post]
3 Nov 2008, 9:46 pm
UBS AG is facing a growing number of arbitration claims from U.S. investors who were sold supposedly "100 per cent principal protected notes" issued by Lehman Brothers Holdings, Inc., according to a November 3, 2008 article in Bloomberg by Bradley Keoun and David Scheer. [read post]
3 Sep 2012, 9:01 pm
UBS AG, et al. [read post]
25 Nov 2015, 8:15 am
The White Law Group is specifically looking at the following UBS structured notes: UBS Structured Notes tied to Crude Oil UBS Structured Notes tied to Steel UBS Structured Notes tied to Copper UBS Structured Notes tied to Nickel UBS Structured Notes tied to Natural Gas UBS Structured Notes tied to Coal UBS Structured Notes tied to Wheat UBS Structured Notes tied to Coffee UBS Structured Notes tied to Palladium… [read post]
30 Aug 2009, 10:21 pm
Saturday: CT AG Demands Access to 4,450 Taxpayer Names to be Released by UBS to IRS AICPA Urges Civil Tax Penalty Reform The 'Good Enough' Law Teacher VanderWolk Posts Tax Papers on SSRN Sunday: Top 5 Tax Paper Downloads UBS Tax Case Web Site District Court Rejects $690m Assignment of... [read post]
2 Mar 2015, 10:05 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]
30 Mar 2020, 6:36 am
Financial professionals and brokerage firms have a duty to recommend only investments that are appropriate for the client based on the client’s age, investment experience, net worth, and investment objectives. [read post]
28 Nov 2017, 6:00 pm
According to research performed by UBS Group AG, salaries at firms managing the wealth of the ultra-rich have... [read post]
10 Sep 2010, 7:40 pm
A case to keep an eye on is In re UBS AG Sec. [read post]
30 Aug 2012, 11:58 am
Former Swiss banker Bradley Birkenfeld has been released from prison where he had served 30 months of his 40-month sentence for his work at UBS, AG helping clients hide their [read post]
15 May 2018, 12:00 pm
UBS recently conducted a survey among wealthy investors in 10 countries inquiring of their expectations and worries of aging to 100 years old. [read post]
14 Oct 2013, 6:11 am
Brokerage firms have a responsibility to their clients to only recommend investments that are appropriate for them in light of their age, income, net worth, investment objectives, and investment experience. [read post]
16 Jun 2010, 5:50 pm
It explained that there has been a delay implementing the settlement, in disclosing the UBS AG bank customers who are suspected U.S. tax cheats. [read post]
30 Aug 2023, 8:09 pm
UBS To Pay Over $1.4B For Selling Mortgage-Backed Securities Broker-Dealer Held Accountable For Allegedly Negligent Sales Practices The US Department of Justice announced that UBS AG consented to pay $1.435B in penalties to settle claims accusing the financial firm of making misrepresentations when it sold residential mortgage-backed securities (RMBS) in 2006 and 2007. [read post]
9 Nov 2018, 11:42 am
According to DOJ’s press release: Earlier today, in federal court for the Eastern District of New York, the United States filed a civil complaint against UBS AG and several of its United States affiliates (together, “UBS”), alleging that UBS defrauded investors throughout the United States and the world in connection with its sale of residential mortgage-backed securities (RMBS) from 2006 through 2007. [read post]
9 Oct 2013, 5:59 am
Brokerage firms and financial advisers have a fiduciary duty to perform due diligence on any investment and to insure that an investment is appropriate in light of the investor’s age, investment experience, and investment objectives. [read post]
9 Oct 2013, 6:00 am
Brokerage firms and financial advisers have a fiduciary duty to perform due diligence on any investment and to insure that an investment is appropriate in light of the investor’s age, investment experience, and investment objectives. [read post]
9 Oct 2013, 6:01 am
Brokerage firms and financial advisers have a fiduciary duty to perform due diligence on any investment and to insure that an investment is appropriate in light of the investor’s age, investment experience, and investment objectives. [read post]
20 Dec 2014, 12:01 pm
UBS ETRACS Exchange-Traded Notes (ETN) are senior, unsecured, unsubordinated debt securities issued by UBS AG. [read post]
20 Dec 2014, 12:00 pm
UBS ETRACS Exchange-Traded Notes (ETN) are senior, unsecured, unsubordinated debt securities issued by UBS AG. [read post]
