Search for: "UBS Ag"
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15 May 2018, 10:59 am
Risk tolerance, age, and liquidity needs also need to be considered. [read post]
4 Sep 2009, 2:15 am
Some of the banks named were Credit Suisse Group AG, Julius Baer Holding AG, Zurcher Kantonalbank and Union Bancaire Privee also known as UBP, all of Switzerland. [read post]
27 Apr 2011, 11:21 am
Morgan Chase andamp; Co., HSBC Holdings plc, Barclays Bank plc, Lloyds Banking Group plc, WestLB AG, UBS AG, Royal Bank of Scotland Group plc, Deutsche Bank AG, The Norinchukin Bank, and Citibank, N.A., have been named in two separate class actions alleging fraud and the manipulation of LIBOR Rates and Exchange Traded LIBOR Based Derivatives. [read post]
22 Jan 2016, 10:35 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]
23 Apr 2008, 10:58 am
In the latest development arising from recent concerns regarding auction rate securities, the New York Attorney General has reportedly launched a wide-ranging criminal investigation by serving subpoenas on 18 firms, including UBS AG, Citigroup, Inc., Merrill Lynch & Co., J.P. [read post]
12 Aug 2013, 8:00 am
Despite Troost's advanced age, no special consideration was given to him during the sentencing. [read post]
16 Apr 2010, 4:18 am
The whistleblower who exposed UBS AG’s efforts to aid U.S. taxpayers in avoiding their U.S. tax obligations—who was sentenced to 40 months in prison for tax evasion despite government requests for… Read this entire article for free, simply activate your free 15 day trial access to Daily Tax Report now. [read post]
13 Apr 2010, 4:05 am
., man pleaded guilty April 12 to failing to file a report of foreign bank or financial accounts (FBAR) disclosing his accounts with UBS AG in Switzerland and to concealing more than… Read this entire article for free, simply activate your free 15 day trial access to Daily Tax Report now. [read post]
9 May 2008, 8:02 am
UBS AG, et al., 08 CIV 4352, is pending in the U.S. [read post]
26 Aug 2011, 7:12 am
EPC members include banks such as Lloyds TSB, Citibank, Barclays, UBS, HSBC Holdings Plc and Deutsche Bank AG. [read post]
5 Feb 2013, 7:15 am
” The 4th Circuit disagreed with UBS AG and Citigroup Inc. and held that Carilion was in fact a customer of the two brokerages. [read post]
20 May 2019, 6:08 am
According to BrokerCheck records financial advisor William Hobby (Hobby), formerly employed by UBS Financial Services Inc. [read post]
8 Jul 2010, 2:42 pm
If only he had hired a lawyer to file the TD F 90-22.1 FBAR form....Ex-UBS Client Zaltsberg Admits Hiding $2.6 MillionJuly 01, 2010, 12:44 PM EDTBy David VoreacosJuly 1 (Bloomberg) -- A former UBS AG client who played soccer on the Soviet national team pleaded guilty to failing to tell U.S. tax authorities about $2.6 million held in an offshore account.Leonid Zaltsberg, 75, admitted that he didn't declare to the Internal Revenue Service a nominee Panamanian account… [read post]
20 May 2015, 4:43 pm
., Barclays PLC, The Royal Bank of Scotland plc and UBS AG – have agreed to plead guilty to felony charges. [read post]
6 May 2014, 10:09 am
UBS AG can be found here. [read post]
8 Oct 2021, 1:10 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6106/securities-industry-commentator/FINRA, FinCen, Networks, Authorities, Priorities, Statements, Guidance, AML, CFT, BSA, and NBFI (BrokeAndBroker.com Blog)CFTC Sanctions UBS AG $500,000 For Failing to Retain Certain Required Audio Recordings (CFTC Release)Stock Promoters Plead Guilty to "Pump and Dump" Securities Fraud… [read post]
24 Jan 2012, 7:16 am
Merrill Lynch Wealth Management, Morgan Stanley Smith Barney, UBS AG and Wells Fargo & Co. have also lost market share by terminating lower producing brokers. [read post]
28 Feb 2013, 7:10 am
CanadaQuebec's anti-corruption sees former head of CSIS up against fraud charges, Toronto StarGamblers out $2M lose again as second court rules against them in lawsuit against casino, Calgary HeraldQuebec's language laws could affect military families unfairly, The National PostUnited StatesFederal bankruptcy judge approves liquidation plan for collapsed law firm Dewey & LeBoeuf, ReutersSupreme court divided on merchants' antitrust case against American Express, ReutersInternationalTwo former… [read post]
12 Sep 2012, 12:27 pm
The long, strange journey of former UBS-AG investment banker and qui tam relator Bradley Birkenfeld has reached a resolution, with Birkenfeld being awarded a $104-million payment for his role in providing the IRS with evidence of as many as 4,000 individuals’ tax evasion. [read post]
26 Oct 2010, 5:28 am
The U.S. government’s dismissal of a criminal information against the Swiss bank UBS AG that was filed with the U.S. [read post]
