Search for: "UBS Investment Bank"
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6 Aug 2009, 5:20 am
Former top Citigroup executive Sallie Krawcheck is joining Bank of America Corp. as head of its global wealth and investment management group, according to a statement from the Charlotte, N.C. [read post]
1 Dec 2008, 5:00 pm
Such "offshore asset searches" typically involve Letters Rogatory, (a.k.a Legal Assistance Requests), which may be used to compel foreign banks or other witnesses residing offshore to give: Details about a financial account / sub-account in various currencies and for all purposes including investments, savings, or bank guarantees; Account opening papers; Names of beneficial owners from the time an account was… [read post]
11 Nov 2009, 9:01 am
In other words, they don't have to like us but I think the Swiss will still invite us to their parties.Similar Posts: UBS Accused of Being a Tattle-Tale Holes in Swiss Tax Case: Swiss Claim Tax Evasion Not a Crime No UBS Settlement So Far IRS Crackdown on UBS Continues With Indictments Germany Tired of Holes in Swiss Policy [read post]
17 Jun 2008, 5:00 pm
TCI originally entered into equity swap agreements with seven different banks and investment banks, including Citigroup, Credit Suisse, Deutsche Bank, Goldman, Merill, Morgan Stanley and UBS. [read post]
6 Feb 2024, 6:13 am
From June 2015 through February 2017 Bindra was registered with UBS Financial Services Inc. [read post]
10 Mar 2011, 5:52 pm
JPMorgan Securities and UBS Securities LLC were the two underwriters. [read post]
11 Jun 2013, 6:12 am
UBS recently announced it would pay part of the bonuses of 6,500 highly compensated employees with bonds that would be forfeited if the bank does not meet its capital requirements. [read post]
11 Apr 2011, 3:08 pm
This comes on the heals of the UBS investigation arising from John Doe Summons issued on that bank. [read post]
8 Apr 2019, 2:28 pm
Zamansky LLC also represents investors in arbitration cases against UBS and other brokerage firms regarding Puerto Rico bonds and UBS closed end bond funds and other investments. https://www.puertoricobondfundsattorney.com/en/ The post Wall Street Doublespeak appeared first on Zamansky LLC. [read post]
1 May 2014, 6:40 am
Promissory Notes (often called up-front forgivable loans) are commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley Smith Barney, Banc of America Investment Services, Wells Fargo, Merrill Lynch, Ameriprise , and UBS Financial Services. [read post]
9 Apr 2020, 7:00 am
An exchange-traded note (ETN) is a senior, unsecured, unsubordinated debt security issued by an underwriting bank. [read post]
16 Sep 2008, 9:03 pm
Credit Suisse's settlement follows on the heels of earlier settlements made by the regulators with UBS, Citigroup, JP Morgan, Morgan Stanley, Merrill Lynch, Goldman Sachs, Wachovia, Fidelity, Deutsche Bank and Bank of America. [read post]
18 May 2015, 12:00 pm
This highly unusual scene seems to tell us that at least some sophisticated institutions are perhaps embracing the loss of some principal by investing with various sovereign governments, rather than face the loss of even more principal by making other types of investments. [read post]
9 Feb 2016, 8:47 am
Malecki Law is interested in hearing from investors who purchased structured notes issued by well-known financial institutions, including Bank of America Merrill Lynch (NYSE: BAC), Citigroup (NYSE: C), Credit Suisse (NYSE: CS), Goldman Sachs (NYSE: GS), JP Morgan Chase (NYSE: JPM), Morgan Stanley (NYSE: MS), UBS (NYSE: UBS), and Barclays (NYSE: BCS). [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]
5 Aug 2008, 3:36 pm
Massachusetts securities regulators have sued Merrill Lynch & Co., accusing it of co-opting its own analysts to help the investment bank dump collapsing auction-rate securities on investors. [read post]
11 Jul 2012, 10:34 am
Does UBS have anything to do with why he closed down the account? [read post]
4 Jan 2012, 10:23 pm
” The securities promoted included fake “bank guarantees” and “medium-term notes” tied to JPMorgan Chase and UBS, among other large banks. [read post]
30 Apr 2011, 3:53 pm
Information about CDS is needed to allow market participants to determine the value of their investment portfolios and develop investment strategies. [read post]
23 Aug 2012, 11:05 pm
Each has its own implication, but in the recent UBS piece Local Stimulus and Property (email me for copy), Wang Tao states in the first coupld of lines: We have long believed that China’s growth recovery in the second half of this year relies on increased government investment financed by bank credit. [read post]
