Search for: "UBS Financial Services"
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18 Jan 2012, 6:48 am
In an effort to curb the litigation that occurs when financial advisors move from one broker-dealer to another, in 2004 three of the largest brokerage firms (Merrill Lynch, Citigroup, and UBS Financial Services formed the Protocol for Broker Recruiting (the “Protocol”). [read post]
16 Jan 2012, 4:42 pm
November 2011 UBS Financial Services Inc., in Weehawken NJ was censured and fined $300,000 in connection with a finding by FINRA that the firm failed to reasonably supervise resulting in a failure to prevent improper, excessive, and unsuitable short-term trading for multiple customer accounts. [read post]
16 Jan 2012, 11:15 am
Stephen Wilkes, Associate, Drinker Biddle & Reath LLP Steve Wilkes is an attorney in the firm’s ERISA Financial Services Team. [read post]
6 Jan 2012, 7:48 am
This year, the repeat offenders were based outside the U.S.: Barclays Bank (BCS) took the brass ring with 2,885 individual filings — that’s nearly eight for every day of they year, including weekends and holidays — followed closely by UBS (UBS), at 2,812 filings, and then BlackRock (BLK) at 2,669. [read post]
23 Dec 2011, 8:57 am
GE Funding is the fifth financial institution to settle with the multistate working group in the ongoing municipal bond derivatives investigation following Bank of America, UBS AG, JP Morgan and Wachovia. [read post]
14 Dec 2011, 2:45 pm
UBS Financial Services Inc.paid $160 million to settle with the SEC and other federal and state authorities in May, and Banc of America Securities LLCreached a $137 million settlement with the SEC and other federal and state authorities on Dec. 7. [read post]
12 Dec 2011, 8:12 am
Creditors Connection * Nationstar Mortgage * PNC * Residential Finance Corp. * SAXON * Springleaf Finance * TCF Financial Corp. * UBS * U.S. [read post]
9 Dec 2011, 7:55 am
Financial Services Authority records. [read post]
8 Dec 2011, 1:45 pm
Morgan Securities LLC (a $228 million settlement in July 2011), UBS Financial Services Inc. [read post]
1 Dec 2011, 2:22 pm
Creditors Connection * Nationstar Mortgage * PNC * Residential Finance Corp. * SAXON * Springleaf Finance * TCF Financial Corp. * UBS * U.S. [read post]
1 Dec 2011, 1:58 pm
UBS Financial Services Inc. 80.8M 212 Investment Corp. et al. v. [read post]
21 Nov 2011, 11:49 am
In contrast, prosecutors say that immediately after his arrest on November 8, 2010, Gadola began cooperating with US officials, providing crucial information on other bankers and Swiss financial institutions offering offshore banking services. [read post]
20 Nov 2011, 6:44 pm
Still recalled by many fresh and green, the UBS was charged with a fine of 780 million in 2009 to avert indictment charges that it sold banking services which enable Americans to evade tax. [read post]
15 Nov 2011, 8:20 pm
The gigantic financial services firms agreed last month to pay $285 million after the SEC charged that it had peddled a bundle of mortgage to investors that it claimed was independently assembled. [read post]
11 Nov 2011, 3:48 pm
SEC Charges UBS With Faulty Recordkeeping Related to Short Sales, SEC, November 10, 2011 FINRA Fines UBS Securities $12 Million for Regulation SHO Violations and Supervisory Failures, FINRA, October 25, 2011 More Blog Posts: UBS Fined $12M for Supervisory Failures and Regulation SHO Violations in Securities Short Sales, Institutional Investor Securities Blog, October 25, 2011 UBS Financial Services Fined $2.5M and Ordered to Pay $8.25M Over… [read post]
4 Nov 2011, 10:48 am
As the U.S. investment banking and securities arm of UBS AG, the giant Swiss financial services company, UBS provides investment banking, research, and sales and trading services, mostly to corporate and institutional clients. [read post]
31 Oct 2011, 12:36 pm
This is the fifth-largest financial industry public company bankruptcy when measured according to assets. [read post]
25 Oct 2011, 6:35 pm
FINRA Fines UBS Securities $12 Million for Regulation SHO Violations and Supervisory Failures, FINRA, October 25, 2011 FINRA Fines UBS $12 Million Over Short Sales, AdvisorOne, October 25, 2011 FINRA More Blog Posts: UBS Trader Charged with Fraud Related to $2B Trading Loss, Stockbroker Fraud Blog, September 23, 2011 UBS Financial Reaches $160M Settlement with the SEC and Justice Department Over Securities Fraud, Antitrust, and Other Charges Related… [read post]
19 Oct 2011, 11:26 am
Somehow Panama was a market good enough to return after 2002, or each closure is an excuse to cover up bad management of the branch.Of course, Panama News also concluded in 2002 that the "entire offshore financial services sector's days are numbered". [read post]
17 Oct 2011, 1:38 pm
UBS Financial Services Inc. has agreed to settle charges brought by the Financial Industry Regulatory Authority, or FINRA, alleging that UBS failed to supervise a stockbroker who stood on both sides of multiple municipal bond trades to and from his customersandrsquo; retail accounts. [read post]
