Search for: "UBS Ag"
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9 Oct 2013, 6:45 am
Brokerage firms and financial advisers have a fiduciary duty to perform due diligence on any investment they recommend and to insure that each recommendation is appropriate in light of the investor’s age, net worth, income, investment experience, and investment objectives. [read post]
9 Oct 2013, 6:01 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]
9 Oct 2013, 6:00 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]
9 Oct 2013, 5:59 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]
9 Oct 2013, 5:58 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]
8 Oct 2013, 11:19 am
Investors have claimed that broker recommendations in the Puerto Rico bond funds were not suitable based upon their age, risk tolerance, and other factors. [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]
11 Sep 2013, 2:04 pm
UBS was not only the funds sponsor, but the only brokerage firm listed as a seller of the fund. [read post]
13 Aug 2013, 5:39 am
Additionally, brokerage firms are required to only recommend investments that are suitable for clients given their age, investment experience, investment objectives, and net worth. [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]
6 Aug 2013, 8:38 am
Brokerage firms are required to make recommendations that are appropriate for their clients in light of their clients’ particular age, income, net worth, investment experience, and investment objectives. [read post]
6 Aug 2013, 8:22 am
The UBS Paulson Advantage Fund is a feeder fund that was recommended and sold by UBS Financial Services to its brokerage customers to invest in the Paulson & Co. [read post]
30 Jul 2013, 7:47 am
On July 25, the FHFA announced that it had settled its claims against UBS AG concerning mortgage-backed securities that UBS sold to Fannie Mae and Freddie Mac between 2004 and 2007. [read post]
31 May 2013, 10:32 am
In the wake of this settlement, investigative agencies around the world began to look deeper into Libor rate fixing, leading to a $750 million settlement by the Royal Bank of Scotland and a record-setting $1.5 billion settlement by UBS AG. [read post]
31 May 2013, 9:32 am
In the wake of this settlement, investigative agencies around the world began to look deeper into Libor rate fixing, leading to a $750 million settlement by the Royal Bank of Scotland and a record-setting $1.5 billion settlement by UBS AG. [read post]
30 May 2013, 2:35 pm
CEO, Ken Lewis, UBS AG and accounting giant, Deloitte & Touche LLP. [read post]
10 Apr 2013, 12:21 pm
UBS AG agreed to pay $1.5 billion, and Barclays agreed to pay $453 million. [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]
25 Mar 2013, 1:20 pm
Many banks, including UBS and Citigroup, have slammed the deal, adding that they will seek arbitration. [read post]
18 Mar 2013, 1:19 pm
Have you suffered losses as a result of your investment in UBS Willow Fund? [read post]
