Search for: "UBS Ag"
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20 Dec 2014, 12:03 pm
UBS ETRACS Exchange-Traded Notes (ETN) are senior, unsecured, unsubordinated debt securities issued by UBS AG. [read post]
18 Jul 2007, 5:29 pm
" UBS denied any wrongdoing, said it only settled to avoid litigation and is "disappointed with the AG's statement, which mischaracterizes the program and its operation. [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]
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]
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]
23 Jun 2012, 3:28 pm
Gregoriou worked for the UBS AG (UBS) unit from ’07 to ’09. [read post]
11 Jun 2010, 12:23 pm
The Swiss government and Washington had painstakingly crafted the treaty last August to resolve a long-standing dispute over UBS AG's alleged role in aiding tax evasion, but 104 nationalist and left-wing lawmakers in Switzerland's lower house, the National Council, voted against the deal, compared to 76 in favor, after their demanded amendments were refused. [read post]
23 May 2014, 12:05 pm
Many investors have suffered substantial losses in the UBS Willow Fund. [read post]
21 Jul 2011, 10:00 pm
An IRS webpage identifies U.S. residents accused of engaging UBS AG to maintain secretly opened Swiss or other foreign bank accounts: (Click On The Image To View The Webpage)* One person cited by this webpage is Ms. [read post]
11 Feb 2009, 9:35 am
Reacting to public pressure and direct governmental influence, UBS AG has decided to eliminate cash bonuses for senior executives of its investment bank, and plans to reduce bonuses firm-wide, according to an article by Carrick Mollenkamp in the February 6, 2009 edition of the Wall Street Journal. [read post]
14 Jul 2009, 10:29 am
SecuritiesIndustry.com is reporting that Goldman Sachs is not the only Wall Street firm taking an ex-employee to court with the charge of theft of trade secrets in the form of valuable, proprietary trading code.Swiss bank UBS AG confirmed Monday that it filed papers in March charging three ex-employees with "misappropriation of trade secrets. [read post]
14 Jun 2010, 4:54 pm
It has been more than three years since UBS whistleblower extraordinaire Bradley Birkenfeld approached the DOJ, IRS, and SEC with information about potential tax evasion by U.S. clients facilitated by UBS AG. [read post]
8 Aug 2022, 4:02 am
UBS Securities, LLC, UBS AG, Defendants/Appelants/Cross-Appellees (2Cir Opinion)Weymouth Man Pleads Guilty to Market Manipulation Conspiracy / Defendant conspired with manipulative stock traders in China and United States (DOJ Release)Los Angeles Man Pleads Guilty to Insider Trading Conspiracy (DOJ Release)CFTC Charges Nevada Metals Trader with Spoofing in Gold and Silver Markets (CFTC Release)Digital Signatures / FINRA Reminds Firms of Their Obligation to Supervise for… [read post]
31 Jul 2009, 3:58 am
From the WSJ blog:In a major break in a massive tax-evasion investigation, UBS AG and the governments of Switzerland and the U.S. have reached a settlement that could force UBS to turn over identities of thousands of account holders, a Justice Department attorney told a U.S. [read post]
22 Apr 2014, 10:30 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Edward Dulin, a broker currently working at Bank of America Corp’s Merrill Lynch unit, alleged his ex-employer UBS AG misled its advisors about the financial health of Lehman Brothers Holdings Inc. [read post]
7 Apr 2011, 6:31 pm
This action is a follow-up to a action that was brought in 2008 against UBS AG which resulted in an estimated 18,000 UBS AG account holders making voluntary disclosures under the 2009 Offshore Voluntary Disclosure Initiative and numerous criminal cases being brought. [read post]
9 Mar 2016, 2:33 am
The Court of Appeal affirmed the Upper Tribunal’s finding in respect of UBS, and allowed DB’s appeal. [read post]
23 Nov 2015, 11:07 am
Have you suffered losses investing in UBS structured notes tied to oil? [read post]
18 Apr 2018, 4:00 pm
According to a recent report released by UBS Global Wealth Management, 56% of married women leave the financial planning and investment decisions to their husbands. [read post]
4 Mar 2008, 2:34 pm
Last week, HSH Nordbank AG, a German bank, sued UBS claiming that UBS had dumped troubled mortgage investments on HSH and other investors and had mismanaged a CDO named North Street 2002-4. [read post]
