Search for: "UBS Financial Services"
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30 May 2008, 4:25 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]
13 May 2008, 7:54 am
UBS announced last week that it will cut 5,500 jobs, including 2,600 investment bankers. [read post]
12 May 2008, 8:15 pm
Paul Leonard of the Financial Services Roundtable indicated that the Frank Option was not that attractive. [read post]
11 May 2008, 7:38 pm
UBS Financial Services Inc. and UBS Securities LLC, both units of UBS AG, have agreed to pay 19 Massachusetts public agencies and local governments over $35 million for their losses in the auction-rate securities market. [read post]
9 May 2008, 8:40 am
UBS Financial Services, Inc. and UBS Securities LLC entered into an agreement Wednesday with the Massachusetts Attorney General to return over $35 million to Massachusetts towns, cities and government entitities that UBS had invested in auction rate securities. [read post]
9 May 2008, 8:02 am
Louis, MO - The law firm of Carey & Danis LLC has filed a class action lawsuit 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]
18 Apr 2008, 3:52 pm
In her December 2006 opinion (via New York Law Journal), SDNY Judge Denise Cote dismissed the claims against former parent Zurich Financial Services and its underwriters UBS AG and Merrill Lynch International and certain claims against Converium Holding AG and three Converium officers, but not all. [read post]
15 Apr 2008, 7:42 am
Individual investors have filed ARS lawsuits against brokers including Morgan Stanley, UBS, TD Ameritrade and Wachovia. [read post]
7 Apr 2008, 6:05 am
The two cases involved Marc Winters (Case E102004083704) and Lisa Ann Tomiko Nouchi (Case E102004083705), both former representatives of UBS FInancial Services, Inc. [read post]
4 Apr 2008, 10:58 am
Additionally, UBS and Goldman Sachs are among the financial services firms which have decided to markdown the value of these securities on client statements, with most markdowns between 3% and 5% but some as high as 20%. [read post]
2 Apr 2008, 2:41 pm
He arrives at TIAA-CREF from insurer Swiss Re, where he’d served as head of financial services. [read post]
1 Apr 2008, 10:25 am
As the debate over financial services regulation drags on, everyone now gets to toss around these new acronyms along with the many already in use, thus congealing our so-called regulatory alphabet soup into a big old soggy pasta salad.Major regulatory overhaul being the stuff of distant dreams, the only new agency Paulson might be serious about creating is the MOC (Mortgage Origination Commission), listed as one of the Blueprint's "short-term" goals. [read post]
1 Apr 2008, 9:14 am
In February, Galvin subpoenaed Calamos Financial Services, Blackrock Financial Management, Pioneer Investment Management, Nuveen Asset Management, MFS Investment Management, John Hancock Advisers, Allianz Global Investors, Evergreen Investment Management, and Eaton Vance for information about the asset management companies' dealings with closed-end funds following the auction failures in the auction-rate securities market. [read post]
28 Mar 2008, 4:33 pm
Brokerage firms and other financial institutions sold many ARS securities as comparable to money market funds, commercial paper and other liquid investments. [read post]
3 Mar 2008, 5:10 am
The Carlyle Group, the private equity firm, said Monday that it had hired Oliver Sarkozy, one of UBS’s top investment bankers for financial services deals, to work as co-head of a similar practice. [read post]
28 Feb 2008, 3:05 pm
" Prudential Securities must pay an $800,000 fine, UBS Financial Services, Inc. was fined $750,000 and Pruco Securities was hit for $100,000 for improper sales of Class B and Class C mutual fund shares. [read post]
22 Feb 2008, 6:10 am
After returning from the service after World War II, he borrowed money and established a shipping terminal in New Jersey. [read post]
20 Feb 2008, 7:57 am
UBS has decided that it simply will not buy such securities at all. [read post]
1 Feb 2008, 12:04 am
The settlement with UBS Fund Services follows a $75 million settlement with Man Financial, now known as MF Global, which served as the merchant for the hedge fund. [read post]
25 Jan 2008, 8:24 am
On January 14th, the Securities and Exchange Commission filed settled charges against Justin Paperny, a former broker at UBS Financial Services for his role in a hedge fund fraud. [read post]
