Search for: "UBS Financial Services"
Results 681 - 700
of 1,067
Sort by Relevance
|
Sort by Date
29 Jan 2013, 6:03 am
The case is UBS Financial Services v. [read post]
29 Jan 2013, 1:03 am
The case is UBS Financial Services v. [read post]
28 Jan 2013, 6:15 am
Last May, Finra ordered broker-dealers of four major banks, Wells Fargo & Co., Citigroup Global Markets Inc., Morgan Stanley and UBS Financial Services Inc., to pay $9.1 million in fines and restitution for selling such funds “without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
27 Jan 2013, 1:46 pm
Fines imposed by the Financial Services Authority (FSA) since 1 January 2012 (through 20 December) have totalled £310 million, more than four times the total for 2011 (see Figure 1 below). [read post]
9 Jan 2013, 6:36 pm
UBS AG, 342 F.Supp.2d 132 (2004), United States District Court, E.D. [read post]
20 Dec 2012, 12:35 am
Financial Services Authority, as discussed in the FSA’s December 19, 2012 Final Notice (refer here); an agreement with the Swiss securities authority, FINMA, to pay a fine of about $64.3 million, as discussed in FINMA’s December 19, 2012 Press Release (here). [read post]
26 Nov 2012, 3:35 am
UBS Financial Services--did not qualify. [read post]
18 Nov 2012, 4:24 pm
This past week, House Financial Services Committee Chairman Spencer Bachus said during a press conference in Washington that the agency’s plan to increase the premiums it charges won’t be enough to cover what the FHA needs. [read post]
13 Nov 2012, 11:54 am
McWood, 280 F.3d 1078 (6th Cir.andnbsp; 2002); UBS Financial Services Inc. v. [read post]
12 Nov 2012, 1:10 pm
We’ve heard Paul Volcker advocate for splitting big banks into investment banks and service banks; separating the profits-at-all-costs mentality of investors from the customers-first mentality that banks should use when providing basic financial services to the public. [read post]
3 Oct 2012, 7:10 am
Matthews) What Is A New gTLD And Why You Should Care: A gTLD Primer For Brand Owners – http://bit.ly/PFDzK2 (Andrea Calvaruso, Nancy Lutz) Vendor Views Industry LandscapeA Defensible, Secure And Fixed-Cost Managed Review Solution – http://bit.ly/Pvm5A5 (John Thatcher) ACC 2012 Annual Meeting – Meet Orange Legal Technologies (Booth 422) – http://bit.ly/P5wXnY (@OrangeLT) AccessData Releases Summation 4.1 and AD eDiscovery 4.0 – http://bit.ly/PvmGBO (Business Wire) Alicia… [read post]
2 Oct 2012, 1:00 pm
Britain’s Financial Services Authority managing director Martin Wheatley says that oversight of Libor should become the UK regulator’s job. [read post]
26 Sep 2012, 5:39 am
http://bit.ly/Q1JmME (Bruce Raymond) Authentication of Website Evidence – Printouts of Web Pages - http://bit.ly/Pf3pnY (Gregory Joseph) Case Commentary: Breezeway Overseas Ltd & Another v UBS AG & Others [2012] - http://bit.ly/Pjbg3X (Serena Lim) Changes Coming in the Litigation and eDisclosure Landscape - http://bit.ly/PfIL76 (Chris Dale) Court Shifts Costs to Putative Class Action Plaintiffs Prior to Class Certification –… [read post]
25 Sep 2012, 12:22 pm
The large, well-resourced financial institution holds all the cards (and the data). [read post]
12 Sep 2012, 11:47 am
” Bradley Birkenfeld exposed widespread tax evasion at UBS AG in a case that resulted in a $780 million fine and “an unprecedented agreement requiring UBS to turn over thousands of names of suspected American tax dodgers to the IRS. [read post]
29 Aug 2012, 12:10 pm
The SEC has also filed a civil lawsuit against Whitman and his financial firm. [read post]
27 Aug 2012, 9:38 am
Sonn | Erez continues to actively file claims in FINRA arbitration against UBS Financial Services to recover losses for investors who invested in Lehman Brothers Notes. [read post]
23 Aug 2012, 7:09 pm
Court of Appeals for the Second Circuit has affirmed a lower court’s ruling to dismiss the ARS lawsuit filed against Merrill Lynch (MER), Merrill Lynch, Pierce, Fenner, and Smith Inc. ( MLPF&S), Moody’s Investor Services (MCO), and the McGraw-Hill Companies, Inc. [read post]
21 Aug 2012, 5:15 pm
Hardee has made a full payment of $1,525,150 in restitution to the Internal Revenue Service (IRS). [read post]
17 Aug 2012, 11:04 am
Willful failure to file a Form TD F 90-22.1, or Foreign Bank and Financial Accounts Report, more commonly known as an FBAR is a criminal violation of the Bank Secrecy Act. [read post]
