Search for: "UBS Investment Bank"
Results 141 - 160
of 739
Sort by Relevance
|
Sort by Date
6 Apr 2018, 11:33 am
Zamansky LLC also represents investors in arbitration cases against UBS and other brokerage firms regarding Puerto Rico bonds and UBS closed end bond funds and other investments. [read post]
27 Mar 2018, 1:30 pm
Zamansky LLC also represents investors in arbitration cases against UBS and other brokerage firms regarding Puerto Rico bonds and UBS closed end bond funds and other investments. [read post]
8 Mar 2018, 1:55 pm
Zamansky LLC also represents investors in arbitration cases against UBS and other brokerage firms regarding Puerto Rico bonds and UBS closed end bond funds and other investments. [read post]
17 Feb 2018, 12:00 am
They’re a bank, so yes. [read post]
2 Feb 2018, 2:47 pm
Zamansky LLC also represents investors in arbitration cases against UBS and other brokerage firms regarding Puerto Rico bonds and UBS closed end bond funds and other investments. [read post]
12 Dec 2017, 4:36 pm
Howey Co., which states that a security is an investment contract in which a person 1) invests their money; 2) in a common enterprise; 3) with an expectation of profits; 4) based on the efforts of the promoter or a third party. [read post]
17 Sep 2017, 7:30 pm
Before you invest in one or both of the offerings by the trusts, you should read the prospectus in that registration statement related to that offering and other documents that The National Collegiate Funding LLC has filed with the SEC for more complete information about The National Collegiate Funding LLC, the trusts, the securitization transactions, the student loans and the offerings. [read post]
25 Aug 2017, 12:56 pm
This easy and profitable avenue for banks to pass their sub-prime loans on to others left them disinclined to engage in thorough due diligence before making loans. [read post]
27 Jul 2017, 4:34 pm
While the lure of triple tax exempt income (income on Puerto Rico bonds is exempt from federal, state, and local taxes) helped firms like UBS, Merrill Lynch, Morgan Stanley and Santander in their sales pitch to prospective retail investors, often Mom and Pop investors were left unaware and uninformed as to the significant risks associated with investing in Puerto Rico bonds. [read post]
12 Jul 2017, 12:57 pm
Although he was no longer registered as an investment adviser or a securities dealer, Eubanks presented himself to acquaintances as a financial adviser running a hedge fund affiliated with Goldman Sachs, TD Ameritrade, UBS Bank and Fidelity Investments, the U.S. attorney’s office said. [read post]
28 Jun 2017, 10:48 am
Meantime, Puerto Rico has directed Bank of New York Mellon Corp. [read post]
13 Jun 2017, 6:48 am
On June 7, 2017, the Federal Reserve Board authorized an extension of up to five (5) years for Deutsche Bank AG, SVB Financial Group, and UBS Group AG to comply with certain aspects of the Dodd-Frank Wall Street Reform and Consumer Protection Act (often referred to as the Volcker rule) relating to “investments in certain ‘illiquid funds[.]'” Press Release. [read post]
12 Jun 2017, 8:58 pm
American Trust Investment Services. 28 brokers. 60.7% flagged [read post]
17 May 2017, 1:05 pm
” In January, Accenture and McLagan released a report finding that blockchain may “reduce infrastructure costs for eight of the world’s ten largest investment banks by an average of 30 percent, translating to $8 billion to $12 billing in annual cost savings for those banks. [read post]
17 May 2017, 1:05 pm
” In January, Accenture and McLagan released a report finding that blockchain may “reduce infrastructure costs for eight of the world’s ten largest investment banks by an average of 30 percent, translating to $8 billion to $12 billing in annual cost savings for those banks. [read post]
3 May 2017, 9:53 am
Prior to that, he was registered with UBS Financial Services in Edison, NJ from September 2006 through November 2011. [read post]
13 Apr 2017, 12:42 pm
Some analysts have noted that while banks such as UBS have faced a large number of arbitration claims for investing clients’ funds in unsuitable high-risk leveraged Puerto Rican bond funds, bank of Santander was spared from most of these claims and is subject to only 200 filings. [read post]
4 Apr 2017, 2:37 pm
Apparently big brokerages like Bank Of America, UBS Group, and Merrill Lynch are “unleashing” their brokers and moving power closer to the brokers and their managers, both to keep brokers from leaving their firms and to increase revenues. [read post]
30 Mar 2017, 6:07 am
A Structured Note is an IOU from an investment bank that uses derivatives to create the desired exposure to one or more investments. [read post]
6 Mar 2017, 4:26 pm
National Australia Bank, the U.S. [read post]
