Search for: "UBS Investment Bank"
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2 Mar 2015, 10:05 am
Using forward contracts, the bank bets that the three highest-yielding currencies will advance and the three lowest will decline. [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]
15 Jan 2015, 7:24 am
Our clients have come forward to our firm to tell very similar stories about how their financial advisors recommended nearly 100% of their portfolios to be invested in the UBS Puerto Rico closed-end funds, some through additional margin or bank loans. [read post]
28 Dec 2014, 4:13 pm
So why were the plans criticized despite heavy compliance investment? [read post]
21 Nov 2014, 1:02 pm
In 2009, Wegelin & Co., Switzerland’s then oldest bank remained defiant in the face of investigations into its business practices, instead recommending that clients” exit from all direct investments in US securities…” Four years later, however, the bank sang a different tune: after the bank was indicted, it was eventually forced out of business. [read post]
10 Nov 2014, 10:37 am
The claims brought by Puerto Rico involved claims of overconcentrating client funds in the UBS bond funds as well as claims that six UBS brokers steered clients into wrongful bank loans to be used to invest in additional UBS bond funds. [read post]
6 Nov 2014, 11:08 am
If you or someone you know invested in any of the UBS closed-end funds you should contact Gana LLP. [read post]
3 Nov 2014, 11:00 am
Consequently, she had to go to court three times to get it done, run an ad in the newspaper and take copies of the will to the bank to get the investments straightened out. [read post]
23 Sep 2014, 9:16 am
According to UBS’ second quarter earnings report, the bank is now looking at over $600 million in claims brought by Puerto Rico investors, who have suffered significant losses related to their investments in closed-end bond funds. [read post]
19 Aug 2014, 1:00 pm
Tucker engaged in unauthorized trading and other financial transactions, made misrepresentations to such customers about their investment accounts, and forged brokerage banking and other documents. [read post]
9 Aug 2014, 6:41 am
In addition, many clients have alleged that UBS brokers encouraged them to borrow even more money to invest in the funds or municipal debt through the use of margin and bank loans. [read post]
30 Jul 2014, 4:44 am
Both UBS and Deutsche Bank were named as defendants in the earlier Flash Boys securities class action lawsuit. [read post]
25 Jun 2014, 6:57 am
The attorneys at Gana LLP are experienced in representing investors concerning unsuitable Puerto Rico UBS bond funds, REITs, and other investments to recover their losses. [read post]
7 Jun 2014, 5:38 am
Background In 2009, during the flurry of news and enforcement activity surrounding UBS, then IRS Commissioner Douglas Shulman announced a new IRS offshore voluntary disclosure program. [read post]
23 May 2014, 12:05 pm
The Fund performed well on a portfolio of bank loans, corporate bonds and corporate repurchase agreements through 2006. [read post]
20 May 2014, 7:08 am
Private Banking is one of four divisions in the bank: the others are Investment Banking, Asset Management, and a Shared Services Group. [read post]
1 May 2014, 6:40 am
Promissory Notes (often called up-front forgivable loans) are commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley Smith Barney, Banc of America Investment Services, Wells Fargo, Merrill Lynch, Ameriprise , and UBS Financial Services. [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]
21 Apr 2014, 3:39 am
The roster of defendants includes the major exchanges, such as the NYSE and NASDAQ, as well as trading platforms such as the BATS Global Markets; major banks, such as BofA, UBS and Barclays; and a long list of trading firms large and small. [read post]
7 Apr 2014, 12:05 pm
WVUH, 660 F.3d 643 (2d Cir. 2011) (“a ‘customer’ is a non-broker and non-dealer who purchases commodities or services from a FINRA member in the course of the member’s FINRA-regulated business activities, i.e., the member’s investment banking and securities business activities”). [read post]
