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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]
26 Feb 2015, 7:10 am
Birkenfeld will travel to Paris to comply with a French subpoena requiring him to testify against UBS AG. [read post]
11 Feb 2015, 7:32 am
The banks, including UBS AG, Royal Bank of Scotland plc (RBS), JPMorgan & Chase Co, and Credit Suisse Group AG previously agreed to settlements with various regulators to resolve charges of manipulation and restraint of trade. [read post]
27 Jan 2015, 12:13 pm
The investment seeks to provide daily investment results (before fees and expenses) that correspond to twice the daily performance of the Dow Jones—UBS Crude Oil Sub-Index. [read post]
5 Jan 2015, 10:00 pm
Romo, the interpretation of laws enacted prior to the modern Internet age served as a deciding factor in the outcome of this invasion of privacy lawsuit, which alleged a violation of the Stored Communications Act (SCA). [read post]
20 Dec 2014, 12:03 pm
UBS ETRACS Exchange-Traded Notes (ETN) are senior, unsecured, unsubordinated debt securities issued by UBS AG. [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]
18 Dec 2014, 10:42 am
UBS ETRACS Exchange-Traded Notes (ETN) are senior, unsecured, unsubordinated debt securities issued by UBS AG. [read post]
18 Dec 2014, 9:29 am
Financial professionals and brokerage firms that sell such products are required to perform adequate due diligence on the investments to ensure a reasonable likelihood of success, and to evaluate whether the investments are suitable in light of the client’s age, net worth, investment experience, and investment objectives. [read post]
21 Nov 2014, 1:02 pm
Credit Suisse, like UBS, has so far survived the crackdowns and the new Foreign Account Tax Compliance Act (FATCA) requirements. [read post]
20 Nov 2014, 6:10 am
Further, UBS allegedly permitted or even recommended that senior aged clients (with a conservative risk tolerance and with a significant portion of their liquid assets tied to closed-end funds) use personal loans—so called non-purpose loans—to purchase the bond funds. [read post]
11 Nov 2014, 11:09 pm
As explained in my prior post, Weil, a Swiss citizen, was the chief executive of UBS AG wealth management. [read post]
11 Nov 2014, 11:09 pm
As explained in my prior post, Weil, a Swiss citizen, was the chief executive of UBS AG wealth management. [read post]
3 Nov 2014, 2:30 pm
charges that he conspired with wealthy Americans to hide $20 billion in secret accounts from the Internal Revenue Service.Jurors deliberated just over an hour before returning the not guilty verdict for Raoul Weil, formerly the No. 3 executive at UBS AG. [read post]
29 Oct 2014, 11:01 am
Not only does it improve family relationships, it helps sets the stage and prepares family members for facing the difficult issues caused by a loved one who ages or passes away. [read post]
14 Oct 2014, 2:11 pm
Weil was the chief executive of UBS AG wealth management. [read post]
14 Oct 2014, 2:11 pm
Weil was the chief executive of UBS AG wealth management. [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]
8 Oct 2014, 5:18 am
Is it really significant that New York would be the “first large state” to go the UBE route? [read post]
