Search for: "UBS Financial Services"
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30 May 2008, 4:25 pm
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
7 May 2013, 6:34 am
Other defendant banks include Bank of America, Deutsche Bank, UBS, Morgan Stanley, Barclays, BNP Paribas, Credit Suisse and RBS. [read post]
29 Sep 2008, 1:53 pm
During September, investors in 26 companies filed new federal lawsuits, according to RiskMetrics Group's Securities Class Action Services data as of Sept. 26. [read post]
21 Apr 2011, 7:49 am
Plaintiffs, who were owners and beneficiaries of a $4 million second-to-die life insurance policy purchased by their parents, brought suit against the insurer, Manulife, UBS Financial Services, and the broker who sold the policy, alleging negligent misrepresentation, deceit, conversion, negligence and breach of contract. [read post]
8 Apr 2009, 1:58 am
Source: Google News Alert Service, April 8, 2009. [read post]
8 May 2020, 9:25 am
Damion Smith Morgan Stanley UBS Financial Services Inc. [read post]
30 Jun 2017, 6:07 am
Prior to that Connell worked for UBS Financial Services in Pearl River, NJ. [read post]
3 Sep 2020, 7:51 am
UBS Financial Services Inc. [read post]
21 May 2018, 12:56 pm
The plan estimates about $6.05 billion of debt service capacity over six years, which is a sign that creditors should expect significant reductions to their repayments. [read post]
19 Sep 2013, 1:25 pm
Warner is not the first UBS client to be prosecuted for tax crimes. [read post]
13 Aug 2008, 2:04 pm
Specifically, the story discusses the Securities and Exchange Commission's announcement last week to settle with Citigroup Global Markets, UBS Securities and UBS Financial Services to repurchase auction rate securities of retail investors in the near term and use best efforts to repurchase at par the securities of institutional investors by the end of 2009 or 2010. [read post]
22 Jun 2009, 9:47 am
At this point it is not known what effect this will have on the UBS summons enforcement action in Florida in which the Internal Revenue Service is attempting to obtain the names of over 50,000 UBS customers with offshore accounts who may have committed tax fraud or tax evasion. [read post]
17 Feb 2010, 9:28 am
The case is significant because it shows that the authorities are expanding beyond UBS, the giant Swiss financial company, in their scrutiny of banks suspected of helping wealthy Americans evade taxes. [read post]
13 Dec 2013, 5:40 am
Some of the funds with the most exposure include: Oppenheimer Rochester Funds, UBS Puerto Rico AAA Portfolio Bond Fund, UBS Puerto Rico AAA Portfolio Bond Fund II, UBS Puerto Rico AAA Portfolio Target Maturity Fund, UBS Puerto Rico GNMA & US Government Target Maturity Fund, UBS Puerto Rico Fixed Income Fund, UBS Puerto Rico Fixed Income Fund II, UBS Puerto Rico Fixed Income Fund III, UBS Puerto Rico Fixed Income… [read post]
31 May 2013, 10:32 am
The International Organization of Securities Commissions (IOSCO) Task Force on Benchmark Rates, led by the head of the UK Financial Services Authority Martin Wheatley and the US Futures Trading Commission Chairman Gary Gensler, released a report last month saying that the new system should be based on data from actual trades in order to restore creditability. [read post]
29 Oct 2009, 3:22 pm
The fourteen participating firms with their case limits in parentheses are: Ameriprise Financial Services (18), Charles Schwab (10), Chase Investment Services (10), Citigroup Global Markets (60), Edward Jones (18), Fidelity Brokerage Services (10), LPL Financial (10), Merrill Lynch (60), Morgan Stanley Smith Barney (60), Oppenheimer (15), Raymond James (15), TD Ameritrade (10), UBS Financial Services (60), Wells Fargo Advisors… [read post]
4 Apr 2008, 10:58 am
Additionally, UBS and Goldman Sachs are among the financial services firms which have decided to markdown the value of these securities on client statements, with most markdowns between 3% and 5% but some as high as 20%. [read post]
14 Nov 2018, 9:07 am
Kentucky lost $1.2 billion in the 2001 dotcom bubble and another $2.8 billion in the 2008 financial crisis. [read post]
21 Sep 2016, 7:07 am
From 1992 through January 2011 Salem was registered with UBS Financial Services, Inc. [read post]
21 Sep 2016, 7:07 am
From 1992 through January 2011 Salem was registered with UBS Financial Services, Inc. [read post]
