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18 Feb 2009, 8:49 pm
"From DOJ:"The government filed a lawsuit today in Miami against Swiss bank UBS AG, the Justice Department announced. [read post]
18 Feb 2016, 5:51 am
Since September 2007 Carlton has been registered with UBS Financial Services Inc. out of the firm’s Vienna, Virginia office locations. [read post]
18 Feb 2014, 12:58 pm
Brokerage firms have an obligation to perform adequate due diligence on any investment they recommend and to ensure that every recommendation they make is suitable in light of the client’s age, investment experience, net worth, and investment objectives. [read post]
24 Jan 2014, 6:43 am
Violanti is a research scientist in the University of Buffalo Department of Social and Preventive Medicine, part of the UB School of Public Health and Health Professions. [read post]
16 May 2014, 6:00 am
UBS AG et al., No. 12-4355 (2d Cir. [read post]
2 Dec 2009, 11:51 am
UBS AG, supra. [read post]
15 May 2010, 10:00 pm
The IRS had also served a "John Doe" summons on UBS AG to uncover bank customers who were U.S. taxpayers with secret foreign financial accounts. [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]
11 Jul 2012, 4:00 am
In 2009, Swiss bank UBS AG (UBS) admitted to helping wealthy U.S. residents hide their assets by opening offshore bank accounts. [read post]
17 Apr 2008, 8:10 pm
Defendants included ex-employees from Morgan Stanley, UBS AG, Bear Stearns Co, and Bank of America Corp. [read post]
9 May 2014, 2:42 am
UBS AG, 2014 WL 1778041 (2d Cir. [read post]
12 Oct 2011, 6:10 pm
Over fifty individuals, including clients, bankers, advisors, and attorneys, have been charged in connection with similar allegations against UBS AG, Credit Suisse Group AG, and HSBC Holdings Plc.. [read post]
1 Feb 2021, 2:02 pm
His previous employers include Morgan Stanley Smith Barney LLC (CRD#:149777) and UBS Financial Services Inc. [read post]
29 Mar 2021, 2:02 pm
His previous employers include Morgan Stanley Smith Barney LLC (CRD#:149777) and UBS Financial Services Inc. [read post]
22 Mar 2023, 9:29 am
Zamansky is investigating potential investment fraud claims related to the $17 billion write-down of Credit Suisse Group AG’s (Credit Suisse) contingent convertible (CoCo) bonds, also known as Additional Tier 1 (AT1) bonds. [read post]
10 Oct 2013, 6:24 am
Brokerage firms and financial advisers are required to disclose the risks of any investments and to insure that each investment recommended is appropriate in light of the investor’s age, net worth, income, investment experience, and investment objectives. [read post]
1 Jul 2008, 9:49 pm
In an unprecedented move against a foreign bank, the DOJ is seeking to force UBS AG to turn over the names of wealthy U.S. clients who allegedly used the giant Swiss bank to avoid taxes [click here]. [read post]
3 Dec 2007, 11:18 pm
In 2005, a jury ordered UBS AG to pay $29.3 million in damages to Laura Zubulake. [read post]
14 Apr 2009, 7:13 am
In other news, another UBS client who hid assets offshore pleaded guilty. [read post]
6 Jun 2008, 6:01 pm
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
