Search for: "UBS Financial Services"
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7 Feb 2010, 2:25 pm
UB then failed to properly store both transformers, mark the storage areas with the proper labeling, and failed to mark each transformer with the date it was removed from service. [read post]
23 Jan 2010, 6:51 am
[JURIST] The Swiss Federal Administrative Court [official website, in French] ruled [judgment, PDF, in German; press release, PDF, in French] Thursday that an American taxpayer's financial information at Swiss bank UBS [corporate website] may not be disclosed to the US Internal Revenue Service (IRS) [official website] pursuant to an August 2009 agreement [text, PDF; JURIST report]. [read post]
22 Jan 2010, 7:35 pm
This leaves the question of how will other UBS Swiss bank accounts at other banks will be impacted. [read post]
14 Jan 2010, 12:04 pm
For his crime, Homann, 67, was fined $60,000 and has to perform 300 hours of community service. [read post]
11 Jan 2010, 8:32 am
Department of Justice and Internal Revenue Service following an order issued by the Swiss Financial Market Supervisory Authority (“Finma”) pursuant to an agreement Finma reached with the U.S. authorities.In its decision, dated January 5, the Court found that Finma overstepped its legal authority in ordering the data transfer. [read post]
28 Dec 2009, 11:42 am
Financial accounting serves the public interest by providing appropriate information to investors and credit [read post]
18 Dec 2009, 3:00 am
The government, by the way, gets nothing for this implicit guarantee--unlike a commercial guarantor, it is not being paid a regular premium for the service. [read post]
17 Dec 2009, 4:13 pm
., Oct. 13, 2009 -- Securities Fraud Attorney Mark Tepper has filed claim against UBS Financial Services on behalf of a widow who lost irreplaceable capital after placing settlement money from her husband's accidental death, under management of the financial services firm. [read post]
9 Dec 2009, 3:19 pm
In an arbitration case that could affect numerous cases that are still pending, a Financial Industry Regulation Authority panel awarded a small investor $200,000 after finding that a UBS Financial Services broker acted inappropriately when he sold high-risk Lehman Brothers Holdings Inc. principal-protected notes to the claimant. [read post]
9 Dec 2009, 6:55 am
Incorporated, Goldman Sachs & Co., Bear Stearns Companies, Inc., Bank of America Securities LLC, Bank of New York, Citigroup Inc., Credit Suisse (USA) Inc., Deutsche Bank Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith, Inc., and UBS Financial Services, Inc. [read post]
7 Dec 2009, 5:33 pm
I offered my services as a Fort Lauderdale tax evasion defense attorney to UBS accountholders during their seven-month window. [read post]
3 Dec 2009, 9:07 pm
General Insurance, Life Insurance & Retirement Services, Financial Services and Asset Management. [read post]
30 Nov 2009, 2:39 pm
Marc Winters of Chatsworth, California, was suspended from association with any FINRA member in any capacity for 90 days and fined $19,882 for allegedly entering inaccurate and false customer information while he was employed at UBS Financial Services. [read post]
30 Nov 2009, 9:24 am
Tepper has filed claim against UBS Financial Services (NYSE: UBS) on behalf of a single mother of three who was also the sole financial caregiver for both parents with Alzheimer's and a child with multiple sclerosis. [read post]
26 Nov 2009, 4:30 am
None of the entities sued by the SEC using the UBS name are related to or affiliated with UBS, AG, the Switzerland-based financial services firm. [read post]
18 Nov 2009, 12:29 am
A subscription to LAW.COM is needed for online access to this service. [read post]
13 Nov 2009, 4:19 pm
Stifel has been working to turn its business into a full-service investment bank and its subsidiary, Stifel, Nicolaus, & Co., recently completed its buy of 56 UBS Financial Services Inc. branches, which it purchased for at least $46 million. [read post]
The Irrelevancy of Interested Influence on the Board: In re Nat'l City Corp. Shareholders Litigation
9 Nov 2009, 5:00 am
The settlement arises from a suit brought by NCC shareholders to enjoin a merger between NCC and PNC Financial Services Group, Inc. [read post]
9 Nov 2009, 12:00 am
A subscription to LAW.COM is needed for online access to this service. [read post]
8 Nov 2009, 2:51 pm
’s financial Regulator, the Financial Services Authority, fined UBS $13.3 million for unauthorized trading in customers’ accounts. [read post]
