Search for: "UBS Investment Bank"
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9 Sep 2008, 3:22 pm
Specifically, regulators announced settlements, in principle, with UBS, Citigroup, Merrill Lynch, Morgan Stanley, Wachovia, Goldman Sachs, JP Morgan and Deutsche Bank. [read post]
3 Feb 2009, 5:57 am
Page Perry's attorneys are actively involved in counseling clients regarding investment abuses. [read post]
27 Feb 2009, 5:06 am
Had the trade gone forward, UBS’s tax-evading clients would have had yet another reason to sue the bank. [read post]
15 Jan 2014, 12:11 am
The banks that have been identified or made announcements regarding Forex regulatory investigations to date include: Barclays, Citigroup, Inc., Credit Suisse AG, Deutsche Bank, Goldman Sachs Group, HSBC, JP Morgan Chase & Co., Morgan Stanley, Royal Bank of Scotland, Standard Chartered and UBS. [read post]
25 Jun 2015, 6:45 am
This, after the bank had previously exhibited considerable swagger by recommending that clients “exit from all direct investments in US securities…” rather than cooperate in the investigation. [read post]
16 Jun 2008, 4:39 pm
Any investment bank that refuses to execute such a customer request may be violating FINRA rules. [read post]
30 Apr 2019, 7:40 am
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. https://www.puertoricobondfundsattorney.com/en/ The post Surprise, You Own Chinese Bonds! [read post]
4 Apr 2012, 2:57 am
HSH-Nordbank tried to make the case that it was just a simple commercial bank hardly capable of understanding the big-city-type investment product UBS was offering… which must have been hysterical to watch especially with Goldmanite and zillionaire, Flowers on everyone’s mind at least once or twice during the case. [read post]
31 May 2013, 10:32 am
One investment bank estimates that, in total, legal settlements could amount to as much as $35 billion by the time investigations conclude. [read post]
22 Feb 2019, 12:40 pm
Experts Disagree With Wall Street on Where the Market is Going When big Wall Street banks like UBS and Credit Suisse pitch iron condors to individual investors, they play up the fact that these YES investments rely on market stability. [read post]
14 Apr 2009, 7:13 am
From the Herald: A Lighthouse Point man pleaded guilty Tuesday in federal court in Fort Lauderdale to filing a false income tax return, as part of a wide-ranging government probe of wealthy clients of Swiss banking giant UBS AG who hid assets offshore.According to court papers, Robert Moran had $3.4 million in a UBS account in Switzerland as of Dec. 31, 2007, but didn't report to the Internal Revenue Service that he had the account nor declare income from it as… [read post]
12 Jul 2012, 6:26 am
As reported July 10 by Investment News, other problems with ETNs can occur when a bank is forced to stop issuing new shares. [read post]
8 Aug 2008, 6:26 pm
How many homes, businesses and investment opportunities were lost? [read post]
6 May 2010, 11:34 am
Many banks on Wall Street and in Europe were even bigger players in the types of complex investment deals that Goldman is now defending. [read post]
9 Oct 2013, 12:39 pm
Brokerage firms and financial advisers have an obligation to insure that an investment is appropriate in light of the investor’s age, net worth, income, investment experience, and investment objectives. [read post]
24 Apr 2008, 3:42 pm
The companies subpoenaed include UBS AG, Merrill Lynch, Citigroup, Inc., JP Morgan Chase and Co., and Goldman Sachs Group. [read post]
14 May 2018, 1:49 pm
He has been employed at UBS Financial Services from 2004 to 2010. [read post]
23 Jun 2011, 2:16 pm
Last year banks and brokers sold more than $52 billion in structured notes, according to the study. [read post]
11 Mar 2021, 7:00 am
In Bain v UBS (2018), the Ontario Court of Appeal confirmed that an investment banker was entitled to, in addition to other significant wrongful dismissal damages, $87,472 in vacation pay because UBS had not based Bain’s vacation pay on his overall compensation, including bonus, as it ought to have. [read post]
11 Mar 2021, 7:00 am
In Bain v UBS (2018), the Ontario Court of Appeal confirmed that an investment banker was entitled to, in addition to other significant wrongful dismissal damages, $87,472 in vacation pay because UBS had not based Bain’s vacation pay on his overall compensation, including bonus, as it ought to have. [read post]
