Search for: "UBS Investment Bank"
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29 Mar 2008, 8:13 am
On Friday afternoon, Massachusetts Secretary of State William Galvin announced an investigation into the practices used to sell auction rate securities at UBS, Merrill Lynch and Bank of America. [read post]
16 Jan 2011, 9:29 pm
This proposal is to get around bank secrecy laws after the long-running dispute between the IRS and UBS Bank of Switzerland that ended with the bank disclosing details of thousands of American account holders suspected of using these accounts to hide their assets. [read post]
14 Jun 2023, 1:09 pm
Did You Invest With Damian Baird? [read post]
SEC Charges Goldman Sachs & Co. with Civil Fraud, and British and German Authorities May Follow Suit
18 Apr 2010, 3:05 pm
The news also impacted the broader markets, putting an end to a six-day U.S. stock market rally, and causing the European markets to slump.Founded in 1869, Goldman Sachs is currently the largest investment banking firm in the United States. [read post]
5 Jan 2012, 5:00 am
In the complaint, they cite a LinkedIn posting to promote fictitious “bank guarantees” and “medium-term notes”: “Bank Guarantees, Cash Backed, Deutsche Bank, Credit Suisse, HSBC, JP Morgan Chase, BNP Paribas, UBS, RBS or Barclays, One (1) year and one (a) day, Fresh Cut USD 500 Billion (USD 500,000,000,000) with Rolls and Extensions 40% or better plus 1% commission fee to be paid, to buy side and sell side consultants 50/50. [read post]
8 Aug 2008, 4:46 am
UPDATE: It appears that UBS got the memo, too; the August 8, 2008 headlines include reports that UBS will be entering its own deal today with state and federal regulators (refer here). [read post]
14 Aug 2008, 8:34 pm
However, this was because the investment banks often served as bidders when there were none. [read post]
18 Dec 2009, 3:00 am
Code Green: Goldman Sachs & UBS Cases Heighten Need to Keep Valuable Digital Assets from Walking Out the Door, Millions in Trading PRofits May Depend on It (July 20, 2009). [read post]
29 Apr 2008, 11:10 am
Further ratings cuts by S&P - on top of the $351 billion in cuts over the past year - may push investment banks such as UBS and Citigroup to sell CDO debt rather than wait for demand to recover. [read post]
20 Nov 2020, 5:00 am
UBS AG (2014) alleged that UBS AG violated Item 105 by failing to disclose that the bank was engaged in tax evasion, while disclosing that it was being investigated by the DOJ. [read post]
5 May 2012, 11:25 am
One done by Credit Suisse and the other by the Swiss banking giant, UBS. [read post]
7 Mar 2014, 3:22 pm
Consequently, the SEC has fined the banking giant $196 million. [read post]
17 Mar 2010, 7:16 am
Its objective is to nab US tax evaders who stash their money in accounts with foreign banks especially in the light of the confession of Swiss bank UBS of assisting its American customers in dodging taxes. [read post]
10 Apr 2008, 9:32 am
Those looking for very safe investments may find themselves attracted to bank savings accounts or money-market funds in spite of their low yields. [read post]
13 Feb 2013, 5:25 am
Many banks are under investigation. [read post]
31 Aug 2012, 3:47 pm
Royal Bank of Scotland (PDF) SEC v. [read post]
10 Feb 2012, 2:55 am
Big banks like UBS with longstanding reputations to uphold entered into qualified intermediary agreements but still actively sought out tax avoidance clients in the US and skirted with criminal prosecution in order to make a fast buck from wealthy but nontax-compliant Americans. [read post]
18 Nov 2009, 1:45 pm
Since 2008, state securities regulators have secured deals with banks including Citigroup, Merrill Lynch, Goldman Sachs, Deutsche Bank, Wachovia, JP Morgan, Morgan Stanley, UBS and TD Ameritrade. [read post]
18 Jul 2007, 7:01 am
Coffey represents HealthSouth bondholders; Giuffra, investment bank UBS. [read post]
6 Jul 2010, 10:46 am
UBS had sold more than $1 billion of PPNs, described as safe investments backed by Lehman Brothers that were "guaranteed" against loss of principal. [read post]
