Search for: "UBS AG"
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21 Sep 2016, 7:07 am
From 1992 through January 2011 Salem was registered with UBS Financial Services, Inc. [read post]
2 Jan 2018, 6:59 am
Previous registrations include Morgan Keegan & Company, UBS Painewebber and JC Bradford & Company. [read post]
19 Apr 2008, 8:40 am
., and UBS AG. [read post]
24 Jul 2011, 8:40 pm
Similar language was used in the criminal complaint against UBS AG. [read post]
11 Jan 2016, 1:00 am
UBS AG v Commissioners for Her Majesty’s Revenue and Customs, heard 3 December 2015. [read post]
26 Nov 2019, 6:50 am
According to FINRA Disciplinary actions for October 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bender, Charles Suntrust Investment Services, Inc JP Morgan Securities Bingham, Daniel Essex Securities Investors Capital Corp Devaney, Patrick… [read post]
13 Sep 2012, 9:30 pm
Reportedly, Morgan Stanley and UBS Investment Bank have been hired by Cole Credit Property Trust II to explore their options for the exit event. [read post]
7 Oct 2011, 12:44 pm
Two years ago, UBS AG, Switzerland’s largest bank, agreed to pay $780 million in fines, penalties, interest, and restitution for helping American customers evade taxes. [read post]
7 Feb 2008, 4:21 pm
Responding to the subprime mortgage-market collapse, DOJ’s emissaries are now getting into the act that’s kept the SEC and a few state AGs in high gear lately. [read post]
12 May 2010, 8:01 am
Morgan Stanley did not market the deals to customers--the Jackson deal was underwritten and marketed by Citigroup and the Buchanan deal was underwritten and marketed by UBS AG. [read post]
21 Sep 2016, 7:07 am
From 1992 through January 2011 Salem was registered with UBS Financial Services, Inc. [read post]
13 Sep 2012, 9:30 pm
Reportedly, Morgan Stanley and UBS Investment Bank have been hired by Cole Credit Property Trust II to explore their options for the exit event. [read post]
1 Dec 2011, 1:58 pm
In February 2009 FINRA awarded $406.6 million to STMicroelectronics N.V. in a fight with Credit Suisse Group AG, followed by a $80.8 million award to Kajeet Inc. against UBS AG in August 2010, and a $54.1 million payout to Colorado patent litigator Gerald Hosier and others in April 2011 over a squabble with Citigroup. [read post]
3 Jul 2018, 6:00 am
These three traders were rewarded for accepting responsibility for wrongful conduct and providing substantial assistance.Joint CFTC & DOJ sweep: On January 29, 2018, CFTC & DOJ announced civil and criminal actions for spoofing and commodities fraud against three banks (Deutsche Bank AG and Deutsche Bank Securities Inc., UBS AG, HSBC Securities (USA) Inc.) and eight individuals (Krishna Mohan, Jiongsheng Zhao, Jitesh Thakkar and Edge Financial Technologies, James… [read post]
31 Aug 2018, 6:09 am
From March 2003 to May 2009, Lofton was registered with UBS Financial Services inc. [read post]
8 Jan 2024, 2:45 am
Bank, 99 AD3d 554, 557 [1st Dept 2012] [“if the promise concerned the performance of the contract itself, the fraud claim is subject to dismissal as duplicative of the claim for breach of contract”]; HSH Nordbank AG v UBS AG, 95 AD3d 185, 206 [1st Dept 2012] [dismissing fraudclaim based in part on alleged insincere promise regarding the manner of performance). [read post]
29 May 2020, 11:28 am
From November 2012 until October 2018 Santiago was registered with UBS Financial Services Inc. [read post]
2 Feb 2018, 7:11 am
Rather, he noted the overarching theme of the meeting was to focus on process, though observing “we are now living in an age that is not big on process, but often prefers to emphasize ‘likes’ and tweetable sound bites. [read post]
31 May 2013, 10:32 am
In the wake of this settlement, investigative agencies around the world began to look deeper into Libor rate fixing, leading to a $750 million settlement by the Royal Bank of Scotland and a record-setting $1.5 billion settlement by UBS AG. [read post]
24 Mar 2012, 8:51 pm
Per the court, the plaintiffs, who sued Mecox, its leading officials, and underwriters Credit Suisse Securities (USA) LLC and UBS AG (UBS), failed to adequately allege any materially false or misleading statements in the registration statement or prospectus for the 2010 IPO. [read post]
