Search for: "UBS AG"
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21 Sep 2016, 7:07 am
From 1992 through January 2011 Salem was registered with UBS Financial Services, Inc. [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]
17 Aug 2016, 7:15 am
According to the Financial Industry Regulatory Authority (FINRA) a unit of UBS Group AG will pay a $250,000 fine to settle charges that it allegedly failed to waive certain fees for about 2700 eligible mutual-fund customers. [read post]
26 Jul 2016, 2:38 pm
Syslo is currently employed by UBS Financial Services, Inc. [read post]
22 Jul 2016, 3:55 am
The schemes The schemes set up by UBS and Deutsche Bank differed slightly in some respects, but were sufficiently close that the two cases were held together. [read post]
12 Jul 2016, 10:23 am
The last few months have seen a spree of lawsuits filed against social media companies for allegedly providing material support to terrorists groups, particularly ISIS, by effectively allowing those groups to use their systems. [read post]
23 Jun 2016, 7:15 am
In October 2015, UBS AG agreed to pay $19.5 million to settle charges that it made false or misleading statements and omissions in offering materials provided to U.S. investors in structured notes linked to a proprietary foreign exchange trading strategy. [read post]
13 Jun 2016, 6:49 am
On June 8, 2016, the Federal Reserve Board and the Federal Deposit Insurance Corporation extended the deadline for Barclays PLC, Credit Suisse Group, Deutsche Bank AG, and UBS to present their upcoming resolution plans to July 1, 2017, as a result of these entities engaging in restructuring in order to be in “compliance with the Federal Reserve Board’s Intermediate Holding Company (IHC) requirement[.] [read post]
1 Jun 2016, 6:51 am
In a recent Wall Street Journal Article, it was reported that UBS Group AG sold $1.5 billion of contingent convertible (CoCo) bonds. [read post]
30 Mar 2016, 1:52 pm
According to Investment News, the Financial Industry Regulatory Authority (FINRA) awarded three investors more than $470,000 in an arbitration award against UBS Group AG’s wealth management for over-concentration in Puerto Rico bonds. [read post]
29 Mar 2016, 1:01 pm
Southcross’s liabilities total approximately $826 million in funded debt and preferred equity obligations which includes (i) $50 million owed pursuant to a 2014 revolving Credit Agreement with UBS AG, Stamford Branch as Administrative Agent, (ii) $566 million owed on account of a senior secured term loan facility under the amended Credit Agreement, (iii) $210 million in preferred equity plus accrued distributions. [read post]
9 Mar 2016, 2:33 am
The Court of Appeal affirmed the Upper Tribunal’s finding in respect of UBS, and allowed DB’s appeal. [read post]
5 Mar 2016, 3:30 am
UBS AG v Commissioners for Her Majesty’s Revenue and Customs, heard 3 December 2015. [read post]
26 Feb 2016, 7:58 am
UBS AG v Commissioners for Her Majesty’s Revenue and Customs, heard 3 December 2015. [read post]
22 Feb 2016, 1:00 am
UBS AG v Commissioners for Her Majesty’s Revenue and Customs, heard 3 December 2015. [read post]
19 Feb 2016, 11:57 am
We would like to thank Reed Smith’s Kevin Hara for helping to put this together.Daimler AG v. [read post]
18 Feb 2016, 5:51 am
Since September 2007 Carlton has been registered with UBS Financial Services Inc. out of the firm’s Vienna, Virginia office locations. [read post]
12 Feb 2016, 7:52 am
UBS AG v Commissioners for Her Majesty’s Revenue and Customs, heard 3 December 2015. [read post]
8 Feb 2016, 1:00 am
UBS AG v Commissioners for Her Majesty’s Revenue and Customs, heard 3 December 2015. [read post]
3 Feb 2016, 7:31 am
The poster child example is the acquittal of Raoul Weil, a high-level UBS banker who “remoted” himself from the dirty work of actually servicing U.S. taxpayers seeking to evade U.S. tax. [read post]
