Search for: "UBS Investment Bank"
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8 Feb 2008, 9:30 am
Attorneys at SNSFE continue to investigate investment losses related to subprime mortgage investments. [read post]
18 Nov 2015, 5:55 am
These structured products are issued by Barclays (NYSE:BCS), Morgan Stanley (NYSE:MS), Deutsche Bank (NYSE:DB), UBS (NYSE:UBS), Citigroup (NYSE:C), Bank of America Merrill Lynch (NYSE:BAC), JPMorgan Chase (NYSE:JPM), Credit Suisse (NYSE:CS), and BNP Paribas among others firms. [read post]
5 Dec 2008, 6:42 pm
Right before the stock market fell off a cliff in September, the news media were filled with stories about the regulators forcing investment banks to settle the claims of individual investors whose assets were stuck in frozen auction rate securities. [read post]
20 Mar 2023, 11:59 am
The Swiss regulator reportedly decided it was best for UBS to merge with Credit Suisse after great outflows of client funds. [read post]
4 May 2012, 6:44 am
Earlier this week, leveraged and inverse ETFs took center stage when the Financial Industry Regulatory Authority (FINRA) levied $9.1 million in penalties on four major banks – Citigroup Global Markets, Morgan Stanley & Co., UBS Financial Services and Wells Fargo Advisors – for their role in selling the risky investments to retail clients who, because of their conservative risk profiles, should never have purchased them. [read post]
8 Oct 2013, 5:00 am
That puts firms like BlackRock, Deutsche Asset & Wealth Management, Prudential Financial, AXA Investment Managers, MetLife, Invesco and UBS Global Asset Management in the cross-hairs of being considered “systemically important. [read post]
9 Aug 2011, 1:55 pm
In a separate development, Martin Lack, a former UBS AG banker and now a Swiss resident and investment consultant, was indicted on a charge of conspiring to help wealthy Americans evade taxes by hiding accounts in a smaller Swiss regional bank. [read post]
26 Aug 2022, 1:12 pm
Morgan Securities, UBS Financial Services and TradeStation Securities, for “deficiencies in their programs to prevent customer identity theft, in violation of the SEC’s Identity Theft Red Flags Rule, or Regulation S-ID. [read post]
14 Jul 2009, 2:53 pm
The agents’ photos, along with a story, are front and center of the Money & Investing section of the WSJ. [read post]
12 Aug 2008, 11:57 am
"Corey Sullivan, a lawyer at the firm, said the cases against UBS, Citigroup, Bank of America and Wells Fargo should benefit from the big-dollar regulatory settlements. [read post]
12 Apr 2023, 8:25 am
For investors, we did the UBS Willo hedge fund, that was one where it was a distressed debt fund. [read post]
28 Dec 2014, 4:13 pm
So why were the plans criticized despite heavy compliance investment? [read post]
2 Mar 2019, 8:30 am
Santander also has a regulatory history that suggests ongoing problems with the Puerto Rico operations for the bank. [read post]
1 Aug 2008, 9:15 am
Today, the WSJ’s Liz Rappaport reports that David Aufhauser, the former general counsel to the Treasury Department and the current GC for UBS’s investment-banking arm is at the center of the complaint that New York AG Andrew Cuomo recently filed against the Swiss bank for fraud in the ARS market. [read post]
20 Aug 2019, 3:05 pm
PW provided retail brokerage services to individuals, and Warburg provided investment-banking services to institutional clients, including Enron. [read post]
31 Jul 2008, 7:03 pm
In the case of UBS, for instance, the bank bought ARSs at almost 90% of the auctions it hosted in 2006 and 2007. [read post]
26 Jul 2007, 7:41 pm
What do Bear Stearns, Deutsche Bank, Lehman Brothers, Merrill Lynch, UBS, Wachovia and Wells Fargo and other big securities firms have in common? [read post]
7 Jul 2010, 8:15 am
” “We continue to receive inquiries from investors who acquired Lehman structured notes as a result of UBS’s misrepresentation of it as a 'principal protected' investment,” said J. [read post]
5 Apr 2008, 9:32 am
The suit alleges that the bank violated securities laws by "deceiving investors about the investment characteristics of auction rate securities and the auction market in which these securities traded. [read post]
19 Nov 2008, 9:21 am
Merrill, in turn, is suing Harjani, the owner of a Jakarta-based investment bank, in a Singapore court in an effort to recoup $12 million that it says Harjani failed to repay. [read post]
