Search for: "UBS Financial Services"
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27 Jul 2011, 12:08 pm
Firms are also reminded to ensure that their registered representatives understand the risks, terms and costs associated with these products, and that they perform an adequate suitability analysis before recommending them to any customer.andquot; Last week, the Georgia Secretary of State Securities Division issued several subpoenas, requestingandnbsp;documents and information fromandnbsp;Morgan Stanley, UBS, and Ameriprise Financial Inc. in its investigation ofandnbsp;whether the… [read post]
15 Jul 2011, 9:46 am
FINMA issued the order in February 2009 after the US Department of Justice (DOJ) accused UBS of assisting Americans in hiding accounts from the Internal Revenue Service (IRS) [official websites]. [read post]
6 Jul 2011, 8:59 am
The woman worked for UBS Financial Services and its predecessor since 1986. [read post]
30 Jun 2011, 6:57 am
From IR-2011-70: WASHINGTON — The Internal Revenue Service today reminds everyone who has a bank or other financial account in a foreign country, or who has signature authority over such an account, that they may be required to report the account to the U.S. [read post]
27 Jun 2011, 6:33 am
Foreign banks have boots (wingtips) on the ground in the U.S. selling accounts and services. [read post]
21 Jun 2011, 5:06 am
But under the rules, she’s as much a cheater to Shulman as those folks at UBS, HSBC and Deutsche Bank who were purposefully looking to keep assets from the IRS. [read post]
15 Jun 2011, 7:11 am
In one of the largest dollar awards to date in a Lehman note case against UBS Financial Services Inc., a Financial Industry Regulatory Authority (FINRA) arbitration panel [read post]
15 Jun 2011, 7:00 am
Totalling 2.25 million, this will be the largest award that the respondent UBS Financial Services Inc. has had to pay out. [read post]
10 Jun 2011, 11:13 am
Steven Kobayashi, founder of Life Settlement Partners, LLC and a former financial advisor at the UBS Financial Services LLC office in Walnut Creek, California has pleaded guilty to one count each of... [read post]
10 Jun 2011, 9:35 am
Steven Kobayashi, a former UBS Financial Services Advisor in Walnut Creek, California, has agreed to serve over 5 years in prison for securities fraud. [read post]
25 May 2011, 12:59 pm
UBS Financial Services Inc. has agreed to pay $160 million to settle claims regarding their anticompetitive actions in the municipal bond market. [read post]
25 May 2011, 12:20 pm
The SEC has charged UBS Financial Services Inc. [read post]
16 May 2011, 9:48 pm
UBS Financial Services Inc. has consented to a $160 million settlement over charges that it took part in anticompetitive practices in the municipal bond market. [read post]
4 May 2011, 12:45 pm
The SEC and UBS Financial Services Inc. [read post]
30 Apr 2011, 3:53 pm
The duration depends on a number of substantial and procedural factors.Credit default swaps are financial products traded between financial institutions or investors. [read post]
22 Apr 2011, 6:58 am
The Financial Industry Regulatory Authority (FINRA) has fined UBS Financial Services $2.5 million over PPNs, requiring the brokerage firm to pay $8.25 million in restitution for omissions and statements made to investors about the products. [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]
12 Apr 2011, 2:28 pm
The Financial Industry Regulatory Authority is fining UBS Financial Services, Inc. $2.5 million and ordering it to pay $8.25 million in restitution for allegedly misleading investors about the "principal protection" feature of 100% Principal-Protection Notes. [read post]
11 Apr 2011, 1:00 pm
FINRA fined UBS Financial Services, Inc. $2.5 million, and required it to pay $8.25 million in restitution for omissions and misleading statements made regarding the "principal protection" feature of Lehman Brothers100% Principal-Protection Notes (PPNs). [read post]
11 Apr 2011, 1:00 pm
FINRA fined UBS Financial Services, Inc. $2.5 million, and required it to pay $8.25 million in restitution for omissions and misleading statements made regarding the "principal protection" feature of Lehman Brothers100% Principal-Protection Notes (PPNs). [read post]
