Search for: "UBS Americas, Inc."
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17 Aug 2012, 3:42 pm
UBS Americas, Inc., No. 12-3207 (2nd Cir. [read post]
7 Nov 2008, 2:42 pm
Worth 14 Cents UBS, the fifth-biggest brokerage firm in the U.S., sold about $1 billion of Lehman's structured notes in America. [read post]
13 Nov 2008, 6:40 pm
Guttenberg and 12 other individuals, mostly former employees at Morgan Stanley, Bank of America Corp, and Bear Stearns Co., Inc., were criminally charged for their involvement in the insider trading ring. [read post]
9 Feb 2009, 3:09 pm
Foundation Inc., Morgan Stanley & C., Inc., UBS Securities LLC, and Wachovia Capital Markets, are under fire from American National Insurance Company and the City of South San Francisco. [read post]
11 May 2012, 12:17 pm
UBS Americas, Inc., No. 11-5201, 2012 WL 1570856 (S.D.N.Y. [read post]
26 Oct 2018, 7:34 am
Wallstreet Strategies, Inx Securities America, Inc Gary Savage Sr. [read post]
18 Feb 2010, 2:00 pm
Shulman was formerly the Global Head of the Municipal Securities Group of UBS AG and the Head of Fixed Income for the Americas of UBS Securities 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]
31 Mar 2010, 9:37 am
The banks named as co-conspirators include JP Morgan Chase & Co, UBS AG, Lehman Brothers Holdings Inc., Bear Stearns Cos., Bank of America Corp, Societe General, Wachovia Corp (bought by Wells Fargo), former Citigroup Inc. unit Salomon Smith Barney, and two General Electric financial businesses. [read post]
11 Jul 2013, 7:25 am
and Securities America Inc., with the five firms agreeing to pay a total of $6.1 million in restitution to investors, and fines totaling $975,000. [read post]
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]
15 May 2012, 1:00 pm
UBS Americas, Inc, Case no. 1:11-cv-05201-DLC (S.D.N.Y. [read post]
1 Jun 2009, 6:30 am
" The Supreme Court has held similarly that "[t]he clear import of treaty language controls unless 'application of the words of the treaty according to their obvious meaning effects a result inconsistent with the intent or expectations of its signatories.'" Sumitomo Shoji America, Inc. v. [read post]
19 Aug 2008, 4:57 pm
Other sources had also reported 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]
11 Aug 2008, 9:20 pm
Those firms accused have included UBS, Bear, Stearns, Citigroup, Lehman Brothers, Merrill Lynch, RBC Dain Rauscher Inc., A.G. [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]
30 Jan 2013, 9:54 am
Mid-America Waffles, Inc., NO. 11-2273-CM, 2012 WL 2568157 (D. [read post]
9 Oct 2013, 12:39 pm
UBS Tax Free Puerto Rico Fund, Inc. [read post]
23 Dec 2011, 8:57 am
GE Funding is the fifth financial institution to settle with the multistate working group in the ongoing municipal bond derivatives investigation following Bank of America, UBS AG, JP Morgan and Wachovia. [read post]
23 Jul 2012, 6:44 am
Court of Appeal (Civil Division) The Trademark Licensing Co Ltd & Anor v Leofelis SA [2012] EWCA Civ 985 (23 July 2012) Faraday Reinsurance Co Ltd v Howden North America Inc & Anor [2012] EWCA Civ 980 (20 July 2012) O’Cathail v Transport for London [2012] EWCA Civ 1004 (20 July 2012) Michael & Ors v South Wales Police & Anor [2012] EWCA Civ 981 (20 July 2012) Konodyba v Royal Borough of Kensington and Chelsea [2012] EWCA Civ 982 (20 July 2012) Backhouse v HM… [read post]
