Search for: "UBS Investment Bank"
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31 May 2013, 9:32 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]
30 May 2013, 2:35 pm
CEO, Ken Lewis, UBS AG and accounting giant, Deloitte & Touche LLP. [read post]
7 May 2013, 6:34 am
Other defendant banks include Bank of America, Deutsche Bank, UBS, Morgan Stanley, Barclays, BNP Paribas, Credit Suisse and RBS. [read post]
3 May 2013, 8:57 am
UBS (United Bank of Switzerland) placed four small but symbolic orders in shares of BaoSteel, ZTE Corp, Shanghai Port Container, and Sinotrans Air Transport to its local broker, Shenyin Wanguo. [read post]
1 May 2013, 5:24 pm
The plaintiffs argue that the relevant statutes of limitations should be tolled until March 2011, when UBS disclosed that it was the subject of a regulatory investigation. [read post]
1 Apr 2013, 6:11 am
In UBS, the court held that a customer of a FINRA firm is anyone "not a broker or dealer, who purchases commodities or services from a FINRA member in the course of the member's business activities," including "investment banking and the securities business." [read post]
1 Apr 2013, 1:11 am
In UBS, the court held that a customer of a FINRA firm is anyone “not a broker or dealer, who purchases commodities or services from a FINRA member in the course of the member’s business activities,” including “investment banking and the securities business. [read post]
1 Apr 2013, 12:51 am
” After RBS, the second and third largest FSA fines, which were assessed against UBS AG and Barclays Bank plc (at £160 million, and £59.5 million, respectively) in 2012, also related to the LIBOR scandal. [read post]
26 Mar 2013, 11:00 pm
In UBS, the court held that a customer of a FINRA firm is anyone "not a broker or dealer, who purchases commodities or services from a FINRA member in the course of the member's business activities," including "investment banking and the securities business." [read post]
26 Mar 2013, 12:00 am
Esteves worked his way up the ranks and eventually ran the investment bank, Pactual. [read post]
25 Mar 2013, 1:09 am
The defendants in the consolidated litigation included not only Citigroup itself but also 28 current or former Citigroup directors and officers and nearly eighty investment banks that served as offering underwriters in the bond offerings. [read post]
13 Feb 2013, 5:25 am
Many banks are under investigation. [read post]
11 Feb 2013, 12:45 am
There were also revelations this past week in the civil litigation that Belgian bank Dexia filed in 2012 against JP Morgan and its affiliates. [read post]
29 Jan 2013, 6:03 am
UBS/Citi cited to a 2001 8th Circuit case holding that a party receiving banking and investment services was not a "customer" under NASD rules (note: this 2001 case involved a party receiving purely advisory services). [read post]
28 Jan 2013, 10:38 am
At the same time, the banks that sold these products reaped a large profit, sometimes nearly 2% of the total investment. [read post]
28 Jan 2013, 6:15 am
Last May, Finra ordered broker-dealers of four major banks, Wells Fargo & Co., Citigroup Global Markets Inc., Morgan Stanley and UBS Financial Services Inc., to pay $9.1 million in fines and restitution for selling such funds “without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
9 Jan 2013, 6:36 pm
Khadafy into bank accounts, real estate, stock investments and businesses abroad. [read post]
18 Nov 2012, 4:24 pm
According to BloombergBusinessweek just two days ago on November 15, 2012, the Federal Housing Administration (“FHA”) is going to need to be the next multi-billion dollar taxpayer funded bailout. [read post]
12 Nov 2012, 1:10 pm
We’ve heard Paul Volcker advocate for splitting big banks into investment banks and service banks; separating the profits-at-all-costs mentality of investors from the customers-first mentality that banks should use when providing basic financial services to the public. [read post]
1 Nov 2012, 1:15 am
Employees at the troubled Swiss investment bank got a rude awakening on Tuesday when they found their security passes wouldn’t let them into the office. [read post]
