Search for: "UBS Ag"
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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]
11 Jan 2016, 1:00 am
UBS AG v Commissioners for Her Majesty’s Revenue and Customs, heard 3 December 2015. [read post]
29 Mar 2016, 1:01 pm
Southcross’s liabilities total approximately $826 million in funded debt and preferred equity obligations which includes (i) $50 million owed pursuant to a 2014 revolving Credit Agreement with UBS AG, Stamford Branch as Administrative Agent, (ii) $566 million owed on account of a senior secured term loan facility under the amended Credit Agreement, (iii) $210 million in preferred equity plus accrued distributions. [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]
19 Apr 2008, 8:40 am
., and UBS AG. [read post]
17 May 2011, 6:00 pm
Remember, there were at least 50,000 account holders at UBS AG who thought that the Swiss bank Secrecy laws would protect them. [read post]
17 Feb 2011, 9:27 am
Participation in the program was encouraged by news reports that a giant Swiss bank, UBS AG had begun to turn over records to the US Treasury that would uncover many secret accounts held by US citizens. [read post]
1 Jul 2010, 10:00 pm
Swiss authorities have already frozen a one million dollar bank account at UBS AG connected to Mr. [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]
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]
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]
1 Jun 2009, 9:10 pm
Inc., Royal Bank of Canada, Morgan Stanley, Wachovia Corp, and UBS AG. [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]
31 Aug 2018, 6:09 am
From March 2003 to May 2009, Lofton was registered with UBS Financial Services inc. [read post]
15 Jan 2014, 12:11 am
., 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]
2 Nov 2010, 7:35 am
She is seeking compensatory and punitive damages under New York City’s Human Rights Law for discrimination based on race, gender, national origin and age. [read post]
1 Apr 2008, 4:24 am
” Over the last several weeks, the auction rate securities crisis has reached the next stages: devaluation of auction rate securities by a major brokerage house, regulatory investigations and investor class-action suits.On Friday March 28, UBS AG began downwardly adjusting the values of the auction rate securities held in its clients’ accounts by amounts ranging from a few points to over 20%, according to the Wall Street Journal Online. [read post]
10 Jan 2009, 11:48 pm
Wang Tao of UBS in her latest report Will job losses lead to social unrest? [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]
