Search for: "UBS AG"
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28 Feb 2014, 11:03 am
So, let’s face it, other than the digital age allowing us to produce hundreds more documents than we used to, how is it so very different today than it was in the past? [read post]
27 Feb 2014, 10:47 am
According to reports, a Swiss financial adviser, Martin Lack, recently became the fourth ex-UBS AG banker to plead guilty to aiding wealthy Americans evade taxes, admitting that for 17 years he helped U.S. clients maintain secret overseas accounts. [read post]
18 Feb 2014, 12:58 pm
Brokerage firms have an obligation to perform adequate due diligence on any investment they recommend and to ensure that every recommendation they make is suitable in light of the client’s age, investment experience, net worth, and investment objectives. [read post]
13 Feb 2014, 7:57 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]
24 Jan 2014, 6:43 am
Violanti is a research scientist in the University of Buffalo Department of Social and Preventive Medicine, part of the UB School of Public Health and Health Professions. [read post]
15 Jan 2014, 12:11 am
., 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]
26 Nov 2013, 2:38 pm
Suitability is determined by such factors as net-worth, risk tolerance, age, and investment objectives. [read post]
8 Nov 2013, 6:02 am
Currently, he is employed with UBS Financial Services. [read post]
6 Nov 2013, 10:30 am
Bloomberg, UBS Whistle-Blower Settles Fee Dispute Over $104 Million: Bradley Birkenfeld, the former UBS AG (UBSN) banker who exposed how the Swiss lender helped Americans evade taxes, settled legal disputes with a law firm that claimed it was owed $13 million of his $104 million whistle-blower award. [read post]
31 Oct 2013, 7:18 am
Brokerage firms that sold UBS proprietary closed-end mutual funds have a fiduciary duty to make investment recommendations that are in the best interest of their clients and must take into consideration a client’s risk tolerance, financial objectives, investment experience, age, and net worth in order to make appropriate investment recommendations. [read post]
24 Oct 2013, 12:28 pm
UBS provides a weekly update on the Net Asset Value (NAV) of certain of these funds. [read post]
23 Oct 2013, 8:03 am
In the context of the UBS fiasco, UBS will likely say that the only reason investors suffered losses is because of the poor economy in Puerto Rico. [read post]
21 Oct 2013, 10:26 am
Plaintiffs, purchasers of mortgage-backed securities, sued UBS AG and several of its subsidiaries (collectively, “UBS”) for alleged misrepresentations in the securities’ offering documents and registration statements. [read post]
21 Oct 2013, 6:11 am
Brokerage firms and financial advisers have a fiduciary duty to perform due diligence on any investment they recommend and to insure that an investment is appropriate in light of the investor’s age, net worth, income, investment experience, and investment objectives. [read post]
18 Oct 2013, 7:54 am
Financial professionals have a responsibility, not only to make investment recommendations that are in the best interest of their client, but are required to take into account their client’s risk tolerance, financial objectives, investment experience, age, and net worth in order to make appropriate investment recommendations. [read post]
16 Oct 2013, 7:31 am
The price quotes may take into account factors, including, but not limited to, customer orders and/or indications of interest for the funds, supply and demand of fund shares, the size and age of the Firm’s inventory, and the size, price and age of open customer orders and recent trading prices and volumes, after-tax yields of the funds or similar funds, and NAV and/or changes in the fund’s NAV. [read post]
14 Oct 2013, 10:07 am
Broker-dealers have a fiduciary duty to perform adequate due diligence on any investment prior to recommending them for sale to their clients and to ensure that the investments it recommends are appropriate for the client in light of the clients age, investment experience, net worth, and investment objectives. [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]
10 Oct 2013, 6:24 am
Brokerage firms and financial advisers are required to disclose the risks of any investments and to insure that each investment recommended is appropriate in light of the investor’s age, net worth, income, investment experience, and investment objectives. [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]
