Search for: "UBS Financial Services"
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12 Jan 2011, 7:48 am
Even UBS AG, whose UBS Securities is the most active foreign underwriter in China, made a net profit in 2009 of only around 109.2 million yuan ($16.5 million), according to publicly available data. [read post]
11 Jan 2011, 8:36 am
For the first time in two years, Switzerland’s UBS AG has begun making markets in derivatives tied to municipal bonds and other securities. [read post]
31 Dec 2010, 8:41 pm
Junior Kim, previously with UBS Financial Services in Beverly Hills, CA, was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 days in connection with changing customer telephone numbers to report inaccurate information, without the customers' knowledge or authorization. [read post]
28 Dec 2010, 1:07 pm
An arbitration panel awarded an investor more than $2.2 million for losses resulting from the purchase of structured notes issued by Lehman Brothers, which were purchased from UBS Financial Services, Inc. [read post]
28 Dec 2010, 10:41 am
Among the leading sellers of private placements in Provident Royalties were Capital Financial Services, with $33.7 million in sales; Next Financial Group, with $33.5 million; and QA3 Financial Corp., with $32.6 million. [read post]
18 Dec 2010, 12:16 pm
Bristol lied to the victim that the funds were being bundled with other clients' funds for an investment with UBS Financial Services. [read post]
9 Dec 2010, 11:31 am
We are very interested in devising a process that will be effective and meet the goals of the legislation, but do so in an efficient manner that recognizes the operational considerations of the financial services industry. [read post]
22 Nov 2010, 9:01 am
., Broadband Research LLC, First New York Securities LLC, Ziff Brothers, Jana Partners LLC, TPG-Axon Capital Management, Prudential Financial Inc.'s Jennison Associates asset-management unit, UBS AG's UBS Financial Services Inc. unit, and Deutsche Bank AG.Insider-trading charges are expected against consultants, investment bankers, hedge-fund and mutual-fund traders and analysts across the nation, the Journal says.This looks like another… [read post]
17 Nov 2010, 10:33 am
The upheaval in the financial industry has prompted long time brokers in the full-service brokerage firms like Morgan Stanley Smith Barney, Bank of America Merrill Lynch, and UBS Wealth Management Americas to make a break for independence. [read post]
16 Nov 2010, 10:55 am
According to FINRA's press release announcing that action, the regulator "censured and fined UBS Financial Services, Inc. [read post]
27 Oct 2010, 4:18 pm
UBS Financial Services Inc ., supra, 2007 WL 4287334, at p.*2; see § 2699.3.) [read post]
27 Oct 2010, 1:12 pm
Further, on October 22, 2010 – the same day that the DOJ filed its motion to dismiss the deferred prosecution of UBS – the Swiss financial market regulator FINMA told Swiss banks that they must take steps to mitigate or eliminate the risks stemming from the cross-border services that the banks provide to wealthy foreigners.4. [read post]
18 Oct 2010, 1:33 am
The Dow Jones Newswire October 14, 2010 article about the UBS report notes that two UBS executives have returned pay from the 2007 to 2009 time frame totaling $73.7 million. [read post]
4 Oct 2010, 1:54 am
In granting the motions to dismiss as to the allegations that Fannie filed inaccurate financial statements, Judge Crotty held that the plaintiffs had not alleged sufficient facts to establish that Fannie’s financial statements were false at the time they were issued. [read post]
20 Sep 2010, 1:47 pm
In fact, the first line in the Protocol mentions clients' interest in privacy and "freedom of choice in connection with the movement of their Registered Representatives...between firms"The Protocol had three founding members - CitiGroup, Merrill Lynch and UBS Financial - and since its inception many years ago the list has exploded as firms have clearly made the decision that the benefits they can obtain from recruiting and hiring registered representatives far… [read post]
8 Sep 2010, 11:55 am
You can find the audio interview and other items on the UBS banking secrecy case, at this link. [read post]
7 Sep 2010, 9:21 am
An arbitration panel has ruled that UBS Financial Services must pay kids' cell phone maker Kajeet Inc. nearly $81 million in damages. [read post]
27 Aug 2010, 12:23 am
I was honored four years later to testify on the issue of proxy access on opposite sides from my former mentor before the House Financial Services Committee. [read post]
11 Aug 2010, 10:34 am
Kevin Mullin is a tax attorney with more than 20 years experience in international tax and estate planning services. [read post]
12 Jul 2010, 2:18 am
The report also notes that though the second quarter filings involved companies in a wide range of industries, the filings were "primarily concentrated in the financial services and oil and gas sectors. [read post]
