Search for: "UBS Investment Bank"
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19 Jul 2008, 2:48 pm
Previous reports had revealed that, as early as last summer, UBS, Citigroup and Bank of America, among others, had been advising issuers of student loan auction rate securities that their auctions were going to fail unless the issuers agreed to waive caps on the amount of interest they could pay. [read post]
14 Aug 2012, 3:36 pm
May Have to Pay Another $15M to Minnesota Nonprofits For Securities Fraud, Institutional Investor Securities Blog, December 24, 2010 Wells Fargo Settles for $148M Municipal Bond Bid-Rigging Charges Against Wachovia Bank, Institutional Investor Securities Blog, December 8, 2011 Morgan Stanley, Citigroup, Wells Fargo, and UBS to Pay $9.1M Over Leveraged and Inverse ETFs, Stockbroker Fraud Blog, May 3, 2012 [read post]
25 Sep 2009, 7:54 am
Others that have received such Wells Notices include Bear Stearns Cos., Bank of America NA and UBS, according to the article. [read post]
2 Dec 2011, 6:28 am
Based on that ruling, the court dismissed claims against JPMorgan and UBS seeking to hold the banks liable for customer losses resulting from Madoff’s scheme. [read post]
7 Oct 2008, 5:59 pm
(AP Photo/Evan Vucci) David Aufhauser has a pretty sterling resume: general counsel of the Treasury Department official; former general counsel for UBS AG’s investment bank; partner at Williams & Connolly; graduate of elite schools (Wesleyan, Penn Law, Harvard MBA). [read post]
8 May 2008, 3:07 am
In Going beyond Greek letters in Livemint, Amol Agrawal flags the issue by giving the example of the UBS annual report that was sent to its shareholders:"Swiss bank UBS AG has recently released a report where it has tried to explain to shareholders what went wrong in the subprime crisis. [read post]
8 Oct 2013, 11:19 am
Bond losses have been so great that Puerto Rico has been effectively shut out of the bond market and is now financing its operations with bank credit and other short-term measures that are unsustainable. [read post]
28 Jun 2010, 6:23 pm
UBS, Deutsche Bank, Morgan Stanley, Goldman Sachs, the former Lehman Brothers, Citigroup, and JP Morgan Chase are among the firms being probed. [read post]
30 Mar 2017, 6:07 am
A Structured Note is an IOU from an investment bank that uses derivatives to create the desired exposure to one or more investments. [read post]
19 Apr 2010, 8:11 am
Citigroup was the leader of those deals, followed by Merrill Lynch and Deutsche Bank, according to the Investment News story. [read post]
19 Aug 2008, 9:12 am
They also say they were merely sellers of ARS, which differentiate them from the investment banks that ran the auctions. [read post]
10 Sep 2012, 5:27 am
Given the fact that I had several emails from the large investment banks with their analysis on today’s numbers, I guess it is hard to say that there was any surprise in the data that was released. [read post]
Investors Left Out of the Auction Rate Securities Regulatory Settlements Are Suing to Recover Losses
22 Jun 2009, 9:46 am
One of the targets of the new wave of suits by "left out" investors is UBS Securities LLC, the New York-based subsidiary of Swiss giant UBS AG. [read post]
15 Aug 2018, 3:03 pm
It appears that stock analysts are going easy on companies to generate investment banking business for their firms. [read post]
4 Sep 2008, 7:11 pm
While regulators have announced tentative settlements with major Wall Street firms (Merrill Lynch, UBS, JP Morgan, Goldman Sachs, Morgan Stanley, Wachovia, Citigroup, and Deutsche Bank) that underwrote auction-rate securities, these settlements have not addressed the situation of thousands of investors that purchased auction-rate securities through smaller brokerage firms. [read post]
14 Sep 2009, 2:53 am
This action follows the earlier dismissals of the auction rate securities lawsuits that had been filed against UBS (refer here) and Northern Trust (refer here). [read post]
6 Aug 2012, 6:49 am
(Baa2) as gas supplier guarantor; (ii) UBS AG (A2) as commodity swap provider; (iii) Assured Guaranty Municipal Corp. [read post]
6 Aug 2012, 6:49 am
(Baa2) as gas supplier guarantor; (ii) UBS AG (A2) as commodity swap provider; (iii) Assured Guaranty Municipal Corp. [read post]
6 Aug 2012, 6:49 am
(Baa2) as gas supplier guarantor; (ii) UBS AG (A2) as commodity swap provider; (iii) Assured Guaranty Municipal Corp. [read post]
29 Feb 2016, 6:43 am
According to the article brokerage firms such as UBS, Bank of America, Merrill Lynch, Morgan Stanley, Wells Fargo, and JP Morgan are recommending that their high net worth investors take out loans against their brokerage accounts at an alarming rate. [read post]
