Search for: "UBS Financial Services"
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4 Nov 2009, 7:59 am
The ban will deprive participants and beneficiaries of public funds of well qualified advisers and drive up the cost of investment advisory services due to higher compliance costs. [read post]
29 Oct 2009, 3:22 pm
The fourteen participating firms with their case limits in parentheses are: Ameriprise Financial Services (18), Charles Schwab (10), Chase Investment Services (10), Citigroup Global Markets (60), Edward Jones (18), Fidelity Brokerage Services (10), LPL Financial (10), Merrill Lynch (60), Morgan Stanley Smith Barney (60), Oppenheimer (15), Raymond James (15), TD Ameritrade (10), UBS Financial Services (60), Wells Fargo Advisors… [read post]
14 Oct 2009, 3:00 pm
Surely we should be able to search in likely waters for likely culprits--the Swiss banks have held themselves out as offering a tax evasion service for taxpayers, so they are clearly likely waters. [read post]
14 Oct 2009, 8:08 am
To accomplish this, FINRA has expanded the program to include cases against the following 14 broker-dealers (from 11 broker-dealers): Chase Investment Services (10 cases); Oppenheimer & Co. (15 cases); Raymond James Financial Services/Raymond James & Associates (10 cases); Citigroup Global Markets (60 cases); Merrill Lynch (60 cases); Morgan Stanley Smith Barney (60 cases); UBS Financial Services (60 cases); Wells Fargo Advisors (60… [read post]
7 Oct 2009, 2:50 pm
Morbach previously worked as Vice President-Investments at UBS Financial Services Inc. [read post]
5 Oct 2009, 5:04 pm
The brokerage firms who have agreed to participate in the pilot program are: Ameriprise Financial Services Charles Schwab Chase Investment Services Citigroup Global Markets Edward Jones Fidelity Brokerage Services LPL Financial Merrill Lynch Morgan Stanley Smith Barney Oppenheimer Raymond James TD Ameritrade UBS Financial Services Wells Fargo Advisors / Wachovia Securities Each of the above firms has committed to participate… [read post]
4 Oct 2009, 10:16 pm
In the first case since the resolution of the IRS UBS standoff, one of the UBS bank account holders has entered a plea of 'guilty'. [read post]
27 Sep 2009, 10:26 am
The layoffs generally involve new financial advisers and recent trainees. [read post]
23 Sep 2009, 12:27 am
Judge Kaplan determined that many of the alleged misrepresentations were made by or on behalf of Raymond James Financial Services (RJFS), the parent company’s retail sales subsidiary that actually sold to investors the auction rate securities that other corporate subsidiaries had underwritten or managed the related auction processes. [read post]
21 Sep 2009, 2:23 pm
Unsurprisingly, half of those companies are in the financial services sector. [read post]
20 Sep 2009, 7:38 am
Further cuts in government services are likely. [read post]
17 Sep 2009, 4:00 am
Michigan's Carl Levin gave the keynote address at the Washington conference of the Task Force on Financial Integrity and Economic Development. [read post]
16 Sep 2009, 8:07 pm
UBS employees marketed the CDOs to Pursuit while they were communicating with Moody's Investors Services Inc. [read post]
16 Sep 2009, 1:32 am
A subscription to LAW.COM is needed for online access to this service. [read post]
14 Sep 2009, 2:27 pm
Non-reporting of foreign financial accounts can result in criminal prosecution resulting in 5 years in jail, and a $250,000 fine. [read post]
14 Sep 2009, 2:53 am
For example, the Fremont General lawsuit (refer here) and the Downey Financial lawsuit (refer here) have both been dismissed, and in Downey Financial’s case, the dismissal is with prejudice. [read post]
13 Sep 2009, 7:24 pm
UBS PaineWebber, Inc., 250 F. [read post]
8 Sep 2009, 5:09 pm
Internal Revenue Service is planning to extend its efforts to fight tax fraud. [read post]
2 Sep 2009, 11:00 am
Internal Revenue Service. [read post]
21 Aug 2009, 10:30 am
And, as blogged earlier today re UBS, they now have a very public platform from which to shout. [read post]
