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14 Aug 2012, 3:36 pm
Meantime, the SEC is accusing McMurtry of violating the financial firm’s internal policy and choosing a certain ABCP issuer for one longstanding municipal client. [read post]
9 Aug 2012, 5:03 am
The New York Department of Financial Services brought the claims against Standard Chartered in an action the report calls particularly embarrassing for the U.S. [read post]
6 Aug 2012, 2:41 pm
UBS Financial Services Inc. v. [read post]
6 Aug 2012, 6:49 am
Moody’s Investors Service recently downgraded ratings of numerous gas prepayment bonds. [read post]
6 Aug 2012, 6:49 am
Moody’s Investors Service recently downgraded ratings of numerous gas prepayment bonds. [read post]
6 Aug 2012, 6:49 am
Moody’s Investors Service recently downgraded ratings of numerous gas prepayment bonds. [read post]
1 Aug 2012, 5:51 am
Berkery, Chairman, UBS Bank & Vice Chair, Wealth Mgmt., UBS Financial Services Inc. [read post]
1 Aug 2012, 5:00 am
” In response, the board asked UBS, its financial advisor, to do a two-week market check, which UBS stated was not a “real” market check. [read post]
31 Jul 2012, 10:48 am
The Roberts were also ordered to pay restitution to the Internal Revenue Service (IRS) in the amount of $709,675, and to pay more than $2.5 million to resolve their civil liability with the IRS for failing to file the required Reports of Foreign Bank and Financial Reports (FBARs). [read post]
31 Jul 2012, 8:44 am
The Roberts were also ordered to pay restitution to the Internal Revenue Service (IRS) in the amount of $709,675, and to pay more than $2.5 million to resolve their civil liability with the IRS for failing to file the required Reports of Foreign Bank and Financial Reports (FBARs). [read post]
31 Jul 2012, 8:44 am
The Roberts were also ordered to pay restitution to the Internal Revenue Service (IRS) in the amount of $709,675, and to pay more than $2.5 million to resolve their civil liability with the IRS for failing to file the required Reports of Foreign Bank and Financial Reports (FBARs). [read post]
27 Jul 2012, 5:15 pm
According to Henry's research, the top 10 private banks, which include UBS and Credit Suisse in Switzerland, as well as the US investment bank Goldman Sachs, managed more than £4tn in 2010, a sharp rise from £1.5tn five years earlier. [read post]
20 Jul 2012, 8:30 am
UBS Financial Services, Inc. [read post]
19 Jul 2012, 2:00 am
" Our only tool is to "reconstruct his financial record" from what he has released. [read post]
18 Jul 2012, 8:29 pm
According to a survey of 500 financial service professionals in the US and Great Britain, 24% of respondents believe that to be successful, you have to, on occasion, take part in activities that are illegal or unethical. [read post]
16 Jul 2012, 7:08 pm
While Barclays may have the settled the allegations for $450 million with the UK’s Financial Services Authority, the US Department of Justice, and the Commodity Futures Trading Commission, now a number of other financial firms are under investigation including UBS AG (UBS), JPMorgan Chase (JPM), Deutsche Bank AG, Credit Suisse Group (CS), Citigroup Inc., Bank of Tokyo-Mitsubishi UFJ, HSBC Holdings PLC (HBC-PA), Lloyds Banking Group PLC (LYG),… [read post]
12 Jul 2012, 6:23 am
In 2004, several major firms, including Citigroup, Merrill Lynch, and UBS Financial, entered into an agreement concerning broker solicitation of former clients after a change of employment. [read post]
12 Jul 2012, 6:23 am
In 2004, several major firms, including Citigroup, Merrill Lynch, and UBS Financial, entered into an agreement concerning broker solicitation of former clients after a change of employment. [read post]
3 Jul 2012, 10:17 am
., Diamond is expected to face questions from local politicians over his involvement in the alleged rate manipulation scandal that led to the nearly half a billion dollars in fines from the Justice Department, Commodity Futures Trading Commission, and the Financial Services Authority. [read post]
26 Jun 2012, 3:08 pm
Dow Jones News Services reports that an insurance policy for the financial firm’s ex-directors and former officers will pay the remaining $31.7 million. [read post]
