Search for: "UBS Investment Bank"
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6 Aug 2008, 8:08 am
As we discussed last week UBS investment banking general counsel David Aufhauser has been named in the press as one of the UBS executives who sold his personal ARS holdings in December 2007 based on information he received from other executives, while the firm was pushing the securities on its customers. [read post]
5 Aug 2008, 3:36 pm
Massachusetts securities regulators have sued Merrill Lynch & Co., accusing it of co-opting its own analysts to help the investment bank dump collapsing auction-rate securities on investors. [read post]
4 Aug 2008, 2:57 pm
“UBS today won the first stage of a legal fight to stop former employees from poaching its investment clients or the bank’s staff. [read post]
4 Aug 2008, 11:45 am
David Aufhauser, the GC of UBS’ investment banking arm, has resigned from the firm, reports the WSJ’s Liz Rappaport. [read post]
2 Aug 2008, 9:52 am
First they "co-opted" their own research department to get them to promote securities of issuers who they were looking to get investment banking business. [read post]
2 Aug 2008, 9:45 am
First the tax fraud investigation, then the Auction Rate Securities lawsuits, then the Massacheuttes Attorney General's suit, and the New York AG's suit.Now this revelation from the Wall Street Journal - Today, the WSJ's Liz Rappaport reports that David Aufhauser, the former general counsel to the Treasury Department and the current GC for UBS's investment-banking arm is at the center of the complaint that New York AG Andrew Cuomo recently filed against… [read post]
1 Aug 2008, 9:15 am
Today, the WSJ’s Liz Rappaport reports that David Aufhauser, the former general counsel to the Treasury Department and the current GC for UBS’s investment-banking arm is at the center of the complaint that New York AG Andrew Cuomo recently filed against the Swiss bank for fraud in the ARS market. [read post]
31 Jul 2008, 7:03 pm
In the case of UBS, for instance, the bank bought ARSs at almost 90% of the auctions it hosted in 2006 and 2007. [read post]
30 Jul 2008, 9:05 pm
The Swiss banking giant UBS has suspended David Schulman, the head of its U.S. fixed income unit and global head of municipal securities, Reuters reports. [read post]
25 Jul 2008, 7:18 pm
The suit, filed in state court in Manhattan, alleges that bank executives yanked their personal investments from the auction-rate securities market when they realized it was in trouble, the Associated Press reports. [read post]
25 Jul 2008, 7:17 pm
Those firms include UBS Financial Services, Bear, Stearns & Co., Inc., Citigroup Global Markets, Inc., J.P. [read post]
25 Jul 2008, 5:06 pm
AFSCME lauded the sale of non-core assets, but suggested that Citi might ultimately benefit from breaking into two separate entities--one for securities and investment banking, and one for retail banking. [read post]
24 Jul 2008, 8:31 pm
More than 85 per cent of companies that invested in the collapsed market for auction-rate securities thought Wall Street banks would provide support during crises, research shows. [read post]
24 Jul 2008, 12:09 pm
Cuomo said his office has filed a lawsuit against UBS Securities LLC and UBS Financial Services Inc. for falsely selling and marketing auction-rate securities as safe and liquid investments. [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]
19 Jul 2008, 2:48 pm
Previous reports had revealed that, as early as last summer, UBS, Citigroup and Bank of America, among others, had been advising issuers of student loan auction rate securities that their auctions were going to fail unless the issuers agreed to waive caps on the amount of interest they could pay. [read post]
18 Jul 2008, 12:32 am
The omission concerned UBS Investment Bank (“UBS”), TriZetto’s financial advisor and author of the fairness opinion, and the nature and amount of UBS’s interest in the success of the merger. [read post]
17 Jul 2008, 5:47 pm
In mid-February, the auctions for the investment instruments failed. [read post]
16 Jul 2008, 9:25 pm
Those firms include UBS Financial Services, Bear, Stearns & Co., Inc., Citigroup Global Markets, Inc., J.P. [read post]
14 Jul 2008, 5:51 pm
In another case, the bank paid $3.6 million to an investor. [read post]
