Search for: "UBS Financial Services"
Results 981 - 1000
of 1,067
Sort by Relevance
|
Sort by Date
22 Sep 2008, 11:55 am
Financial services companies. [read post]
21 Sep 2008, 4:30 pm
Sometimes in the midst of turmoil all around us, with the landscape of the financial services industry--for many of us, our lifeblood--reforming under our very eyes, it's worthwhile to take a step back and reflect upon some enduring business verities. [read post]
18 Sep 2008, 1:14 am
Enormous campaign contributions from the financial services industry helped assure regulatory lethargy. [read post]
13 Sep 2008, 10:24 pm
Morgan's main competitors - including Citigroup, UBS, and Merrill Lynch - ignored the danger signs and piled into those products in a feeding frenzy. [read post]
9 Sep 2008, 6:18 pm
Later that same day Aufhauser instructed his financial advisor to dump all his auction rate securities holdings. [read post]
2 Sep 2008, 3:03 pm
Flynn filed his whistleblower complaint against UBS Financial Services last June. [read post]
1 Sep 2008, 10:58 am
It should be fair to assume that the same process was carried out at Citibank, Merrill Lynch, UBS and Bear Sterns. [read post]
28 Aug 2008, 3:38 am
Third, although the subprime and credit crisis-related litigation wave has spread, the vast majority of the lawsuits have been concentrated in the financial services sector. [read post]
26 Aug 2008, 5:42 pm
The Regional Bond Dealers Association had told Cuomo, in an August 15 letter, that entities that sold ARS to its clients but had nothing to do with managing their issuance should not be made to repay clients back at par illiquid the way financial services firms, such as Citigroup Inc., Morgan Stanley, Wachovia Corp, JP Morgan Chase and Co, UBS AG, and Goldman Sachs Group Inc., are now required to do, so per their settlements with federal and state regulators. [read post]
26 Aug 2008, 3:14 pm
So far, Merrill Lynch & Co., Goldman Sachs Group, Deutsche Bank, Citigroup Inc., UBS Financial Services, Morgan Stanley, JPMorgan Chase & Co., and Wachovia Corp. have agreed to buy back frozen auction-rate securities from investors. [read post]
20 Aug 2008, 9:52 pm
Following on the heels of a similar complaint filed by Massachusetts securities regulators, New York Attorney General Cuomo's complaint against UBS Securities and UBS Financial Services ("UBS" collectively) alleges that UBS deceived its customers, its own financial advisors and the issuers of auction rate securities ("ARS"). [read post]
13 Aug 2008, 2:04 pm
Specifically, the story discusses the Securities and Exchange Commission's announcement last week to settle with Citigroup Global Markets, UBS Securities and UBS Financial Services to repurchase auction rate securities of retail investors in the near term and use best efforts to repurchase at par the securities of institutional investors by the end of 2009 or 2010. [read post]
11 Aug 2008, 10:51 am
But as noted in an August 8, 2008 CFO.com article (here), at the same time, a number of other leading banks have been hit with regulatory subpoenas as problems surrounding auction rate securities become “the crisis of the day for the large global financial services companies. [read post]
8 Aug 2008, 8:47 pm
The agreement has been reached between UBS Financial Services Inc. and the federal Securities and Exchange Commission and regulators in several states. [read post]
5 Aug 2008, 3:36 pm
If charges are brought, Citigroup would become the third big financial firm to face civil-fraud charges by regulators since the auction-rate imbroglio. [read post]
30 Jul 2008, 9:05 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]
25 Jul 2008, 7:18 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]
25 Jul 2008, 7:17 pm
Those firms include UBS Financial Services, Bear, Stearns & Co., Inc., Citigroup Global Markets, Inc., J.P. [read post]
25 Jul 2008, 2:47 pm
The New York Attorney General filed a civil complaint yesterday against UBS Securities LLC and UBS Financial Services, Inc. alleging that UBS "committed a multi-billion dollar consumer and securities fraud on the investing public by falsely selling securities facing mounting liquidity risk as cash equivalents. [read post]
24 Jul 2008, 12:09 pm
Cuomo said his office has filed a lawsuit against UBS Securities LLC and UBS Financial Services Inc. for falsely selling and marketing auction-rate securities as safe and liquid investments. [read post]
