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13 Aug 2009, 11:49 am
Meanwhile, the Swiss Financial Market Supervisory Authority's deadline for feedback on its own proposed new compensation guidelines for financial services companies is Aug. 14. [read post]
13 Aug 2009, 1:02 am
A subscription to LAW.COM is needed for online access to this service. [read post]
12 Aug 2009, 4:51 pm
UBS Financial Services Inc. has agreed to be fined $100,000 and Merrill Lynch, Pierce, Fenner & Smith Inc. has consented to a $150,000 fine, says the Financial Industry Regulatory Authority, for alleged supervisory failures that resulted in the inappropriate short-term sales of closed-end funds that were bought at initial public offerings for the funds. [read post]
11 Aug 2009, 7:06 pm
Biggest tax newsmaker: Obama nominees, UBS or TARP? [read post]
11 Aug 2009, 9:26 am
With all the brilliant news of recovery and a restoration to a nation of promise and financial dominance, there is the fact which underscores a reticence of excitement. [read post]
4 Aug 2009, 7:00 am
• An ETF seeking to deliver three times the daily return of the Russell 1000 Financial Services Index fell 53 percent while the index actually gained around 8 percent. [read post]
3 Aug 2009, 3:05 am
Below are a couple of excerpts from the UBS Hedge Fund Hotel Administrative Complaint: Other than hedge fund adviser, prime brokers are the primary third party service providers to hedge funds. [read post]
30 Jul 2009, 3:22 pm
The Financial Industry Regulatory Authority (FINRA) has fined Merrill Lynch and UBS Financial Services $250,000 for supervisory failures that led to unsuitable sales of closed-end funds. [read post]
28 Jul 2009, 2:03 pm
. $150,000 and UBS Financial Services, Inc. $100,000 for supervisory failures that led to unsuitable short-term sales of closed-end funds (CEF) purchased at the funds' initial public offerings.... [read post]
20 Jul 2009, 4:48 pm
Wolf is, along with the world's most evil man, George Soros, one of Obama's two top financial backers. [read post]
18 Jul 2009, 7:31 am
Not surprisingly, the SEC has focused its attention on cases related to the financial crisis. [read post]
12 Jul 2009, 9:37 pm
Doesn't UBS have its own settlement company that it inherited from Paine Webber? [read post]
10 Jul 2009, 12:58 pm
District Court for the Southern District of Ohio against three former employees of UBS Financial Services Inc. [read post]
7 Jul 2009, 6:22 am
And at UBS, risk managers were apparently alerted to potential subprime losses during the first quarter of 2007, but it took months for UBS executives to even raise those issues with the corporate board and outline a comprehensive picture of the company's subprime exposure. [read post]
30 Jun 2009, 6:57 pm
What’s the best tax or financial advice that anyone ever gave you? [read post]
28 Jun 2009, 10:56 am
Many states face the prospect of shutting down services if quick action is not taken. [read post]
24 Jun 2009, 1:05 am
A subscription to LAW.COM is needed for online access to this service. [read post]
24 Jun 2009, 1:05 am
A subscription to LAW.COM is needed for online access to this service. [read post]
22 Jun 2009, 9:47 am
At this point it is not known what effect this will have on the UBS summons enforcement action in Florida in which the Internal Revenue Service is attempting to obtain the names of over 50,000 UBS customers with offshore accounts who may have committed tax fraud or tax evasion. [read post]
4 Jun 2009, 4:34 pm
According to New Hampshire securities regulators, UBS Financial Services Inc., a unit of UBS AG, misled investors regarding complex securities that were issued by Lehman Brothers before the latter filed for bankruptcy protection in 2008. [read post]
