Search for: "UBS Ag"
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4 Feb 2013, 7:31 am
., Israel’s largest bank, filed summonses with notice against UBS AG, Goldman Sachs & Co., and their affiliates, in the Supreme Court for the State of New York. [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]
1 Nov 2011, 5:21 pm
("JP Morgan") and UBS AG ("UBS"). [read post]
28 Jan 2013, 9:46 am
Additionally, they have an obligation to make sure that any investment they recommend is appropriate for the client in light of the client’s age, income, net worth, investment experience, and investment objectives. [read post]
31 Oct 2013, 7:18 am
Brokerage firms that sold UBS proprietary closed-end mutual funds have a fiduciary duty to make investment recommendations that are in the best interest of their clients and must take into consideration a client’s risk tolerance, financial objectives, investment experience, age, and net worth in order to make appropriate investment recommendations. [read post]
16 Oct 2013, 7:31 am
The price quotes may take into account factors, including, but not limited to, customer orders and/or indications of interest for the funds, supply and demand of fund shares, the size and age of the Firm’s inventory, and the size, price and age of open customer orders and recent trading prices and volumes, after-tax yields of the funds or similar funds, and NAV and/or changes in the fund’s NAV. [read post]
12 Jun 2019, 12:32 pm
Risk tolerance, age, and liquidity needs also need to be considered. [read post]
22 Jun 2012, 1:58 pm
Paladino, two of the brokers that the financial firm had wooed from UBS AG (UBS) in 2008. [read post]
17 Sep 2021, 11:50 am
They must ensure that each investment recommendation that is made is suitable for the investor in light of the investor’s age, risk tolerance, net worth, financial needs, and investment experience. [read post]
22 Jul 2008, 1:23 pm
In the wake of a lawsuit by the Massachusetts Securities Division alleging fraudulent sales of auction rate securities (“ARS”), UBS AG reportedly plans to buy back as much as $3.5 billion in ARS-impacted preferred shares issued by tax-exempt closed-end funds. [read post]
25 Jan 2013, 11:23 am
Unlike class action claims, the strengths and merits of an individual claim hinge on those facts that are specific to that particular investor (i.e. that investors age, income, net worth, investment experience, etc.). [read post]
21 Jun 2017, 8:50 am
(UBS) out of the firm’s Beverly Hills, California office location. [read post]
4 Nov 2011, 10:48 am
As the U.S. investment banking and securities arm of UBS AG, the giant Swiss financial services company, UBS provides investment banking, research, and sales and trading services, mostly to corporate and institutional clients. [read post]
4 Aug 2008, 11:45 am
On Friday, we noted a WSJ report that Aufhauser (pictured) had been highlighted in a civil fraud complaint filed by NY AG Andrew Cuomo against UBS for its actions in the auction rate securities market. [read post]
14 Sep 2016, 10:09 am
UBS Group AG’s wealth management business must pay a combined $750,000 to three investors who claimed damages tied to their investments in Puerto Rico’s debt, according to the Financial Industry Regulatory Authority Inc. [read post]
14 Oct 2013, 10:07 am
Broker-dealers have a fiduciary duty to perform adequate due diligence on any investment prior to recommending them for sale to their clients and to ensure that the investments it recommends are appropriate for the client in light of the clients age, investment experience, net worth, and investment objectives. [read post]
26 Jun 2008, 11:05 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]
23 Feb 2009, 1:41 pm
Internal Revenue Service made big financial news last week when it sued Swiss banking giant UBS AG for allegedly helping 52,000 Americans avoid paying taxes on their foreign accounts. [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]
26 Feb 2010, 3:49 pm
"A Swiss court ordered tax officials to drop two more cases involving UBS AG account holders, adding urgency to the government’s effort to find a political solution that will preserve a data-sharing agreement with the U.S. [read post]
