Search for: "UBS Financial Services"
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19 Feb 2009, 3:49 pm
It appears that the amount of the settlement might have been higher, but for the current financial crisis, and the input of the Federal Reserve Bank of New York. [read post]
18 Feb 2009, 8:49 pm
The DOJ now seeks 52,000 account holder identities, in spite of a deferred prosecution agreement with more limited disclosure, according to Genevalunch.com" The US Department of Justice (DOJ) is taking UBS to court to obtain the names of 52,000 clients of the bank: these are US citizens who, the US government says, have not declared to the IRS all their financial information. [read post]
12 Feb 2009, 1:44 am
The action, which Deminor initiated on February 11, 2009, is filed against UBS S.A. and UBS Fund Services, as well as against the Luxalpha SICAV Fund, Luxembourg Third Party Management Company SA and Access Management Luxembourg SA. [read post]
3 Feb 2009, 2:48 pm
Pretty soon we are going to need a scorecard - Wachovia Securities LLC and UBS Financial Services Inc. of New Yorkhave engaged in preliminary talks about a joint venture for theirretail-brokerage units, according to a report in today's New York Post. [read post]
3 Feb 2009, 11:24 am
 The three firms - Citigroup Global Markets (Smith Barney), Merrill Lynch, and UBS Financial Services - signed an agreement called the Protocol for Broker Recruiting (the "Protocol"). [read post]
3 Feb 2009, 4:00 am
Swiss bank UBS held talks with Morgan Stanley late last year over the sale of its U.S. brokerage unit, UBS Financial Services, news reports said, citing unnamed sources. [read post]
29 Jan 2009, 7:00 am
UBS Financial Services, Inc. [read post]
28 Jan 2009, 2:48 pm
According to a report in the Wall Street Journal the Internal Revenue Service (IRS) now believes that the number of UBS clients who hold offshore accounts is higher than the 17,000 originally reported. [read post]
20 Jan 2009, 3:25 am
., a firm with a dual focus on computer hardware technology and health care technology, recently filed suit against UBS AG, UBS Financial Services and UBS Securities LLC (“UBS”) for allegedly fraudulently inducing Hutchinson to purchase millions of dollars in auction rate securities (ARS). [read post]
22 Dec 2008, 5:18 pm
UBS Financial Services, Inc., UBS Securities, LLC, and Citigroup have reached finalized settlements with the Securities and Exchange Commission to pay tens of thousands of ARS investors almost $30 billion. [read post]
19 Dec 2008, 5:59 pm
The Internal Revenue Service (IRS) has revised Form 90-22.1, Report of Foreign Bank and Financial Accounts, also known as an "FBAR. [read post]
12 Dec 2008, 8:00 am
(Techdirt) Friendster granted social networking patent (Saunders & Silverstein) Partial win for both Cordance and Amazon in ‘one click’ Markman order (Law360) Leon Stambler launches patent suit against numerous major banks over their secure online banking services; Federal judge approves dismissal of UBS Financial Services (Law360) (Law360) Federal judge denies Girafa’s motion for preliminary injunction in lawsuit accusing… [read post]
4 Dec 2008, 6:11 pm
These continued job cuts brokerage firms worldwide are dramatically shrinking employment in the financial services industry, and it may take years before the industry can once again begin to expand. [read post]
1 Dec 2008, 5:00 pm
After that Order, UBS AG then provided U.S. authorities with the financial information of seventy UBS account holders. [read post]
12 Nov 2008, 8:40 pm
• UBS promised its "Financial Advisors" extra economic incentives to sell these securities to UBS' customers. [read post]
6 Nov 2008, 6:31 am
(Smith Barney), Merrill Lynch, Pierce Fenner & Smith Inc. and UBS Financial Services, Inc. entered into the Protocol for Broker Recruiting ("Protocol") in 2004. [read post]
23 Oct 2008, 3:19 am
As reflected in their press release (here), on October 22, 2008, plaintiffs’ attorneys filed a purported securities class action in the Southern District of New York on behalf of investors who purchased securities of the recently nationalized Belgium-based financial services company, Fortis N.V. [read post]
15 Oct 2008, 10:30 pm
The basic investment principle of asset allocation was conveniently forgotten by the financial services industry during the technology bubble that caused the 2000 market downturn. [read post]
8 Oct 2008, 1:56 pm
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
29 Sep 2008, 1:53 pm
During September, investors in 26 companies filed new federal lawsuits, according to RiskMetrics Group's Securities Class Action Services data as of Sept. 26. [read post]
