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26 Aug 2014, 8:29 am
” Zubulake didn’t get a promotion she thought she had earned at the global financial services firm UBS Warburg, filed a complaint with human resources and suddenly found herself at odds with her bosses. [read post]
14 Feb 2019, 8:33 am
Puerto Rico’s Financial Oversight Board, which has been spearheading the territory’s efforts to recover from its debt crisis, said that the COFINA/Commonwealth settlement will reduce debt services on COFINA bonds by $17.5 billion over the 40-year life of these new bonds and that this should save the island $456 million yearly. [read post]
18 Mar 2009, 4:01 pm
Former Alabama Governor Don Siegelman and former HealthSouth CEO Richard Scrushy were convicted of federal funds bribery, honest services conspiracy, honest services mail fraud, racketeering conspiracy, racketeering, honest services wire fraud, obstruction of justice and extortion in the U.S. [read post]
4 Aug 2023, 7:34 am
According to FINRA Disciplinary actions for July 2023, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Michael Borning Pruco Securities, LLC Wells Fargo Clearing Services, LLC Conway Donaldson Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Incorporated Bridget Fernandez UBS… [read post]
29 Jul 2020, 12:30 pm
UBS Financial Services Inc. [read post]
8 Sep 2011, 4:20 pm
Corp, UBS Securities LLC, and JPMorgan Securities LLC Settle Mortgage-Backed Securities Lawsuit Filed by New Mexico Institutional Investors for $162M, Institutional Investor Securities Blog, March 10, 2011 Bank of America and Countrywide Financial Sued by Allstate over $700M in Bad Mortgaged-Backed Securities, Stockbroker Fraud Blog, December 28, 2010 [read post]
12 Jun 2024, 1:41 pm
KOHN & COMPANY (CRD#:27913), CINCINNATI, OH, B, 11/11/2005 – 10/19/2023, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), BLOOMFIELD HILLS, MIB, 10/29/1999 – 12/02/2005, UBS FINANCIAL SERVICES INC. [read post]
23 May 2019, 7:47 am
According to FINRA Disciplinary actions for May 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 Bang, Gregory NYLife Securities LLC Bishop, Tywan Charles Schwab & Co, Inc ETrade Block, Gabriel First Standard Financial Company LLC… [read post]
30 Nov 2018, 7:38 am
The Federal Reserve began its program of buying up debt in 2008, in the wake of the financial crisis. [read post]
20 Mar 2020, 8:00 am
Many companies like UBS Group AG (“UBS”), a Swiss bank, responded to the news by announcing attempts to seek full ownership of their joint ventures once the ownership caps are eliminated. [read post]
17 Jun 2024, 9:05 pm
This post comes to us from Randy Priem, a professor at the UBI Business School of Middlesex University London and Antwerp Management School at the University of Antwerp and a coordinator of the markets and post-trading unit at the Belgian Financial Services and Markets Authority (FSMA). [read post]
1 Apr 2013, 12:51 am
This “split” becomes effective on April 1, 2013 and comes from the Financial Services Bill of 2012, which received royal assent on December 19, 2012. [read post]
29 Aug 2023, 8:10 am
"The report aims to provide practical guidance to States, businesses, especially financial institutions of all types, civil society and other stakeholders on how to align better ESG approaches with the UNGPs in the context of financial products and services. [read post]
26 Aug 2008, 3:14 pm
So far, Merrill Lynch & Co., Goldman Sachs Group, Deutsche Bank, Citigroup Inc., UBS Financial Services, Morgan Stanley, JPMorgan Chase & Co., and Wachovia Corp. have agreed to buy back frozen auction-rate securities from investors. [read post]
18 Dec 2014, 9:29 am
If your financial advisor bet big on an Energy Sector ETFs and you suffered substantial losses, you may have a claim to recover your losses through FINRA arbitration. [read post]
6 Apr 2012, 2:05 pm
According to Cerulli Associates, Bank of America Merrill Lynch (BAC), Wells Fargo (WFC), Morgan Stanley Smith Barney (MS), and UBS (UBS)—essentially, the largest financial firms—will see their portion of the high-net-worth market continue to get smaller. [read post]
17 Feb 2011, 9:27 am
Participation in the program was encouraged by news reports that a giant Swiss bank, UBS AG had begun to turn over records to the US Treasury that would uncover many secret accounts held by US citizens. [read post]
11 Feb 2015, 7:32 am
The settlements, entered into with the CFTC, DOJ, UK Financial Services Authority, and European Commission, resulted in over $2 billion in fines, as well as key admissions of wrongdoing. [read post]
18 May 2015, 12:00 pm
As noted recently by iconic market veteran Art Cashin, now Director of NYSE Floor Operations for UBS Financial Services, over 30% (approximately $2.2 Trillion) of the highest-rated sovereign debt in Europe now bears a stated negative interest rate. [read post]
18 Apr 2016, 9:43 am
In exchange for avoiding criminal charges UBS was forced to pay a $780 million fine and turn over information on 4,450 U.S. clients. [read post]
