Search for: "UBS Ag"
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22 Jul 2016, 3:55 am
The schemes The schemes set up by UBS and Deutsche Bank differed slightly in some respects, but were sufficiently close that the two cases were held together. [read post]
16 Apr 2010, 4:08 am
The Justice Department announced April 15 that seven clients of the Swiss banking giant UBS AG have been charged with collectively hiding more than $100 million from the Internal Revenue Service through sham companies. [read post]
9 Oct 2008, 9:21 pm
• The prospectus makes it clear that consummation of the settlement will depend upon UBS's financial resources and that "UBS AG may not have sufficient financial resources to satisfy its obligations under the ARS rights. [read post]
12 Aug 2009, 4:51 pm
FINRA claims that Merrill Lynch and UBS did not have the proper supervisory procedures and systems in place so that brokers couldn't and/or wouldn't make such unsuitable CEF sales. [read post]
6 Dec 2009, 8:39 am
UBS AG faces dozens of arbitration claims from U.S. clients who bought 100 percent principal protected notes issued by Lehman Brothers Holdings that turned out to be virtually worthless after the company filed for bankruptcy in September. [read post]
29 Jun 2015, 10:56 am
On June 18, 2015, Justice Marcy Friedman of the New York Supreme Court dismissed RMBS fraud claims brought by Commerzbank AG London Branch (“Commerzbank”) against UBS, Nomura Holdings Inc., Barclays Bank PLC, Citigroup and other banks on the grounds that the fraud claims at issue were barred by the statute of limitations. [read post]
7 Mar 2013, 11:06 am
Novartis AG and UBS AG are two of the multinational companies listed in Switzerland that will be affected by the Minder proposals. [read post]
18 Feb 2010, 2:00 pm
Shulman was formerly the Global Head of the Municipal Securities Group of UBS AG and the Head of Fixed Income for the Americas of UBS Securities LLC. [read post]
22 Jan 2016, 10:30 am
Brokerage firms are required to perform adequate due diligence on any investment they recommend and to ensure that all recommendations are suitable for the investor in light of that particular investor’s age, investment experience, net worth, risk tolerance, investment objectives, and income. [read post]
1 Nov 2007, 4:20 am
Mediobanca SpA and UBS AG are coordinating [...] [read post]
31 Jan 2020, 3:12 pm
Winning Is The Easy Part: Now UBS needs to get its money. [read post]
8 May 2008, 8:57 am
Okada used information from UBS AG research reports, before the reports were made public, to execute hundreds of trades totaling $17.5 million. [read post]
22 Jul 2011, 9:50 am
The brokerage firms under investigation include UBS AG, Morgan Stanley and Ameriprise Financial. [read post]
21 Dec 2015, 10:30 am
Wall Street Journal, Swiss-Banking Lawsuit Against IRS Could Have Wide Impact: Bernhard Gubser was among thousands of clients outed five years ago by Swiss bank UBS Group AG to U.S. officials on the hunt for tax evaders. [read post]
8 Jul 2011, 12:40 pm
The SEC has settled similar cases against Bank of America for $137 million and UBS AG for $160.2 million. [read post]
9 Mar 2012, 11:34 am
Did your financial advisor bet big on the Dow Jones-UBS Natural Gas Total Return ETN? [read post]
20 Aug 2019, 3:05 pm
(formerly UBS PaineWebber (“PW”)) and UBS Securities LLC (formerly UBS Warburg LLC (“Warburg”)), both of which were separate legal entities and subsidiaries of UBS AG during the relevant period. [read post]
19 Dec 2010, 1:52 pm
If you are thinking about transitioning into banking or work with that industry, the 43-page new dress code from Swiss bank UBS AG should get your attention. [read post]
8 Feb 2010, 2:41 pm
These are pretty patently outrageous violations of law in this day and age, especially from an institution of higher education. [read post]
14 May 2018, 10:59 am
Risk tolerance, age, and liquidity needs also need to be considered. [read post]
