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13 Aug 2013, 5:39 am
Additionally, brokerage firms are required to only recommend investments that are suitable for clients given their age, investment experience, investment objectives, and net worth. [read post]
25 Jun 2008, 2:45 pm
UBS AG, et al., C.A. [read post]
25 Jun 2008, 2:45 pm
UBS AG, et al., C.A. [read post]
14 Jan 2013, 9:04 am
Have you suffered losses in the UBS Willow Fund? [read post]
3 May 2012, 8:15 pm
(WFC), UBS AG (UBSN), Morgan Stanley (MS), and Citigroup Inc. [read post]
25 Feb 2010, 2:27 pm
As part of a deal to settle ARS insider trading allegations by New York Attorney General Attorney Cuomo, former UBS AG executive David Shulman has agreed to pay $2.75 million. [read post]
1 Aug 2012, 12:26 pm
The former co-head of UBS AG's municipal-derivatives group, and two ex-colleagues are defendants in a municipal bond bid-rigging case being tried before U.S. [read post]
4 Sep 2009, 6:28 am
The Wall Street Journal reports that the IRS is dedicating an entire division to investigate and pursue offshore tax evaders: For anyone who wonders if the Internal Revenue Service is done with offshore accounts now that it got its UBS AG (UBS) settlement, there’s this. [read post]
20 Sep 2021, 12:35 pm
., UBS Group AG and HSBC Holdings PLC are among several firms that hold large stakes in Evergrande’s debt. [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]
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]
12 Sep 2012, 11:11 am
The IRS has awarded $104 million to former UBS AG banker Bradley Birkenfeld for providing it with inside information about UBS's illegal encouragement of secret offshore accounts by U.S. taxpayers. [read post]
7 Nov 2016, 2:48 pm
In 2014, UBS said claims tied to UBS Wealth Management Americas’ Puerto Rico closed-end municipal bond funds have risen to nearly $1 billion. [read post]
11 Jun 2008, 11:33 am
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]
9 Mar 2015, 7:55 am
Additionally, brokerage firms are required to ensure that all investment recommendations made are suitable in light of the client’s age, investment experience, investment objectives, net worth, and income. [read post]
21 Feb 2012, 10:33 pm
According to UBS’s disclosure, HSBC Holdings Plc, Royal Bank of Scotland Group Plc, Deutsche Bank AG, JPMorgan, Citigroup, ICAP Plc, and RP Martin Holdings Ltd were all part of the scheme. [read post]
27 Nov 2015, 1:00 am
On the 3 December 2015 the Supreme Court will hear HMRC’s appeal of the decision in DB Group Services (UK) Ltd v HMRC and HMRC v UBS AG [2014] EWCA Civ 452. [read post]
18 Feb 2009, 7:07 pm
News release: "UBS AG, Switzerland â [read post]
24 Oct 2013, 12:28 pm
UBS provides a weekly update on the Net Asset Value (NAV) of certain of these funds. [read post]
10 Sep 2012, 7:57 am
On September 5, 2012 Sealink Funding Limited filed a summons with notice against UBS AG in the Supreme Court for the State of New York for allegedly misrepresenting the nature of nearly $160 million worth of RMBS securities. [read post]
