Search for: "UBS Investment Bank"
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12 May 2023, 9:17 am
Joint book-running managers for the offering included Keefe, Bruyette & Woods, Wells Fargo Securities, Morgan Stanley, UBS Investment Bank, and Goldman Sachs, with Deutsche Bank Securities as lead manager, and Compass Point, Ladenburg Thalmann, KeyBanc Capital Markets, Oppenheimer, and Piper Sandler also as co-managers for the offering. [read post]
20 May 2014, 7:08 am
Private Banking is one of four divisions in the bank: the others are Investment Banking, Asset Management, and a Shared Services Group. [read post]
22 Jul 2008, 10:36 pm
Some economic pundits are blaming some of the latest market problems on the jettisoning of several Depression era protections for investors, such as the repeal of the Glass-Steagal Act, which used to separate commercial banks from investment broker/dealers and the repeal of the Uptick Rule on short sales that may be contributing to the wave of short-selling. [read post]
24 Jun 2010, 11:08 am
Banks seek three major exemptions to the Volcker Rule: (1) make it inapplicable to asset management and insurance companies, (2) allow banks to continue to invest in hedge funds and private equity firms, and (3) delay any requirements for up to seven years. [read post]
11 Aug 2008, 9:20 pm
Edwards & Sons, Inc., Piper Jaffray , SunTrust Capital Markets , and Bank of America Securities as well as Morgan Stanley, JP Morgan and Wachovia Securities. [read post]
30 Apr 2010, 10:26 pm
Stifel’s retail and investment-banking/capital revenue will be brought into balance. [read post]
21 Jun 2007, 10:38 am
UBS AG shut down Dillon Read Capital Management after bad trades in subprime-mortgage loans led to a $124 million loss. [read post]
22 Feb 2008, 6:10 am
The Mahers sold the company to one of Deutsche Bank's investment units in July 2007 for more than $1 billion. [read post]
20 Mar 2020, 8:00 am
Many companies like UBS Group AG (“UBS”), a Swiss bank, responded to the news by announcing attempts to seek full ownership of their joint ventures once the ownership caps are eliminated. [read post]
10 Jan 2019, 12:53 pm
Industrial and Commercial Bank of China Financial Services – In May, FINRA levied a $5.3 million fine for failing to implement an anti-money laundering program to detect suspicious transactions. [read post]
14 Dec 2011, 2:45 pm
Wells Fargo Bank, N.A., successor by merger to Wachovia Bank N.A., has agreed to pay $46 million to settle charges brought by the Securities and Exchange Commission that Wachovia fraudulently rigged bids in municipal bond reinvestment transactions in 25 states and Puerto Rico. [read post]
26 Mar 2013, 11:00 pm
In UBS, the court held that a customer of a FINRA firm is anyone "not a broker or dealer, who purchases commodities or services from a FINRA member in the course of the member's business activities," including "investment banking and the securities business." [read post]
1 Apr 2013, 6:11 am
In UBS, the court held that a customer of a FINRA firm is anyone "not a broker or dealer, who purchases commodities or services from a FINRA member in the course of the member's business activities," including "investment banking and the securities business." [read post]
14 Feb 2017, 8:34 am
But Puzder has no financial interest or investments in UBS. [read post]
14 Feb 2017, 8:34 am
But Puzder has no financial interest or investments in UBS. [read post]
27 Mar 2018, 1:30 pm
Zamansky LLC also represents investors in arbitration cases against UBS and other brokerage firms regarding Puerto Rico bonds and UBS closed end bond funds and other investments. [read post]
7 May 2012, 7:09 am
Citigroup Global Markets Inc., Morgan Stanley, UBS Financial Services Inc. and Wells Fargo recently agreed to pay $9.1 million to settle allegations that they sold leveraged and inverse exchange-traded funds to clients who had no business investing in the complex instruments. [read post]
28 Jan 2013, 6:15 am
Last May, Finra ordered broker-dealers of four major banks, Wells Fargo & Co., Citigroup Global Markets Inc., Morgan Stanley and UBS Financial Services Inc., to pay $9.1 million in fines and restitution for selling such funds “without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
11 Jan 2009, 11:35 am
ARS Market Collapse UBS, Bank of America, Merrill Lynch, Wachovia, and other large investment firms were accused of knowingly misleading investors into believing that auction-rate securities were "safe," liquid like cash investments. [read post]
21 Nov 2014, 1:02 pm
In 2009, Wegelin & Co., Switzerland’s then oldest bank remained defiant in the face of investigations into its business practices, instead recommending that clients” exit from all direct investments in US securities…” Four years later, however, the bank sang a different tune: after the bank was indicted, it was eventually forced out of business. [read post]
