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22 May 2007, 12:19 am
Rahim bought, through UBS AG London, 6,700 TXU call option contracts that had March 2007 expiration dates. [read post]
23 Nov 2015, 11:40 am
Moreover, brokerage firms are required to perform adequate due diligence on any product they recommend and to ensure that all recommendations are suitable for their client in light of the client’s age, investment experience, net worth, income, and investment objectives. [read post]
8 Nov 2009, 2:51 pm
As unemployment rates have soared across all age groups, many adults are seeking jobs that have traditionally been held by teenagers. [read post]
26 Feb 2016, 7:58 am
UBS AG v Commissioners for Her Majesty’s Revenue and Customs, heard 3 December 2015. [read post]
12 Jul 2012, 6:26 am
Another ETN, Barclays’ iPath Dow Jones-UBS Natural Gas Total Return Sub-Index, saw the premium of its share price go to as high as 134% of its NAV in March. [read post]
1 Dec 2011, 2:22 pm
. * UBS * U.S. [read post]
20 Sep 2012, 12:45 pm
SEC Charges Chicago-Based Investment Firm with Misleading Investors in Private Equity Offerings, SEC (PDF) More Blog Posts: Texas Securities Fraud: Ex-Stanford Chief Investment Officer Gets 3-Year Prison Term for Her Part in $7 Billion Ponzi Scam, Stockbroker Fraud Blog, September 18, 2012 IRS Pays Whistleblower $104M for Exposing Tax Evasion at UBS AG, Institutional Investor Securities Blog, September 13, 2012 US Government Sells $18B of AIG Stock and Turns a $12.4B Profit,… [read post]
26 Jun 2012, 3:15 pm
In 2007, California billionaire Igor Olenicoff, who hid more than $200 million in accounts in Swiss bank UBS AG and elsewhere, pleaded guilty as charged. [read post]
29 Jan 2016, 7:30 am
UBS AG v Commissioners for Her Majesty’s Revenue and Customs, heard 3 December 2015. [read post]
15 Oct 2008, 10:30 pm
In fact, all of the well-known brokerage firms such as Merrill Lynch, Morgan Stanley, UBS, etc. have internal asset allocation models that should be used as a guideline by their brokers. [read post]
21 Nov 2014, 1:02 pm
Credit Suisse, like UBS, has so far survived the crackdowns and the new Foreign Account Tax Compliance Act (FATCA) requirements. [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended 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 III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors Capital Diehlman,… [read post]
22 Feb 2016, 1:00 am
UBS AG v Commissioners for Her Majesty’s Revenue and Customs, heard 3 December 2015. [read post]
4 Feb 2010, 12:39 pm
Some of the hospitals also report that the rate of fracture accelerates as the leads age. [read post]
28 May 2020, 9:05 pm
This approach aligns with the Federal Council’s controversial Ordinance on the Recapitalization of UBS AG in 2008 and with the Swiss Federal Supreme Court’s equally criticized UBS and Swiss Financial Market Supervisory Authority judgment. [read post]
6 Jan 2022, 1:22 pm
As if that were not enough, on December 30, 2021, New York (New York County) Supreme Court Judge Jennifer Schecter granted the motion to dismiss in the derivative action filed in the New York court against the board of UBS AG Group, a Swiss corporation. [read post]
25 Feb 2021, 9:08 am
UBS AG, 799 F. [read post]
15 May 2007, 2:39 am
AGs Review Hiring of Outside Counsel
The National Law Journal
Attorneys general in seven states -- some of whom have retained plaintiffs law firms to bring high-profile lawsuits involving lead paint and the painkiller OxyContin -- are instituting new policies or facing legislative pressure to make the hiring of outside legal counsel more transparent. [read post]
28 Aug 2022, 9:45 am
From August 1997 through February 2002, Serizawa was registered with UBS Painewebber Incorporated. [read post]
8 Aug 2012, 4:01 pm
(GS) (now with a $500 million cost-saving target), Deutsche Bank AG (DBK), and Bank of America Corp. [read post]
