Search for: "UBS Investment Bank"
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31 Mar 2014, 1:31 pm
Swiss banking giant UBS began to do this in April, 2009. [read post]
7 Mar 2014, 3:22 pm
Consequently, the SEC has fined the banking giant $196 million. [read post]
18 Feb 2014, 2:38 pm
I have been counsel in numerous securities arbitration cases against such brokerage firms as Merrill Lynch, Bank of America, Morgan Stanley Smith Barney, Wells Fargo, Securities America, Oppenheimer, UBS and many others. [read post]
4 Feb 2014, 1:25 pm
While UBS recommends that Puerto Rico residents should, in some cases, invest up to 100%+ of their assets in the Funds, UBS secretly recommends that UBS Puerto Rico, the firm’s island subsidiary, liquidate its own UBS bond fund holdings due to UBS the overconcentration risk. [read post]
15 Jan 2014, 12:11 am
The banks that have been identified or made announcements regarding Forex regulatory investigations to date include: Barclays, Citigroup, Inc., Credit Suisse AG, Deutsche Bank, Goldman Sachs Group, HSBC, JP Morgan Chase & Co., Morgan Stanley, Royal Bank of Scotland, Standard Chartered and UBS. [read post]
23 Oct 2013, 8:03 am
For example, here are some of the disclosures that UBS made about the Puerto Rico Fund investments in their marketing material: “Risks applicable to all funds - Shares of the funds are not bank deposits and are not guaranteed or insured by any bank, government entity or the Federal Deposit Insurance Corporation. [read post]
18 Oct 2013, 7:54 am
The following risks were listed in the UBS Puerto Rico Family of Funds brochure: Risks applicable to all funds - Shares of the funds are not bank deposits and are not guaranteed or insured by any bank, government entity or the Federal Deposit Insurance Corporation. [read post]
14 Oct 2013, 6:11 am
Risks applicable to all Puerto Rico Funds (as disclosed in UBS’s marketing materials): – Shares of the funds are not bank deposits and are not guaranteed or insured by any bank, government entity or the Federal Deposit Insurance Corporation. [read post]
10 Oct 2013, 6:24 am
While most of the big banks do business in Puerto Rico, UBS is one of the few to have a large team of bankers and financial advisors on the island. [read post]
9 Oct 2013, 12:39 pm
Brokerage firms and financial advisers have an obligation to insure that an investment is appropriate in light of the investor’s age, net worth, income, investment experience, and investment objectives. [read post]
8 Oct 2013, 11:19 am
Bond losses have been so great that Puerto Rico has been effectively shut out of the bond market and is now financing its operations with bank credit and other short-term measures that are unsustainable. [read post]
8 Oct 2013, 5:00 am
That puts firms like BlackRock, Deutsche Asset & Wealth Management, Prudential Financial, AXA Investment Managers, MetLife, Invesco and UBS Global Asset Management in the cross-hairs of being considered “systemically important. [read post]
3 Oct 2013, 7:10 am
” According to the Caribbean News, the statement of claim names: “UBS Financial Services Inc.; UBS Bank USA; UBS financial consultants and investment executives José M. [read post]
27 Sep 2013, 12:43 pm
On September 20, 2012, Royal Bank of Canada issued one-year Reverse Convertible Notes linked to Apple. [read post]
21 Sep 2013, 6:51 am
The firms that were included in the investigation were Morgan Stanley, LPL Financial, Merrill Lynch, UBS AG, Bank of America Corp., Fidelity Investments, Wells Fargo and Co., Charles Schwab Corp., and TD Ameritrade along with other firms. [read post]
19 Aug 2013, 5:54 pm
The Foreign Account Tax Compliance Act (FATCA) was enacted in the wake of the UBS scandal to crack down on tax evasion overseas. [read post]
7 Aug 2013, 8:21 am
In another in a series of mortgage backed securities fraud cases against major investment banks, the SEC announced on Tuesday that UBS agreed o to pay $50 million to settle federal accusations that it misled investors about a complex mortgage security, a transaction that loomed over the government’s recent legal battle with a former Goldman Sachs trader blamed for his role in creating a similar security. [read post]
26 Jul 2013, 5:17 am
The case dealt with an obscure corner of the bond market in which local governments raise money from investors through bond deals, then invest the proceeds in investment products that banks and others are supposed to sell in a competitive process.... 3. [read post]
11 Jun 2013, 6:12 am
UBS recently announced it would pay part of the bonuses of 6,500 highly compensated employees with bonds that would be forfeited if the bank does not meet its capital requirements. [read post]
31 May 2013, 10:32 am
One investment bank estimates that, in total, legal settlements could amount to as much as $35 billion by the time investigations conclude. [read post]
