Search for: "UBS AG"
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14 Jan 2016, 1:23 pm
In addition to UBS and Morgan Stanley, FINRA reports that Mr. [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]
27 Feb 2014, 10:47 am
According to reports, a Swiss financial adviser, Martin Lack, recently became the fourth ex-UBS AG banker to plead guilty to aiding wealthy Americans evade taxes, admitting that for 17 years he helped U.S. clients maintain secret overseas accounts. [read post]
12 Nov 2008, 8:18 pm
The Orlando Sentinel reported today that the Swiss CEO of UBS AG was indicted for conspiring to hide $20 billion in assets from the IRS: Raoul Weil, chief executive officer of a UBS division handling cross-border business and private banking, is charged with one count of conspiring to use overseas accounts to defraud the U.S. through income tax evasion. [read post]
21 Oct 2013, 6:11 am
Brokerage firms and financial advisers have a fiduciary duty to perform due diligence on any investment they recommend and to insure that an investment is appropriate in light of the investor’s age, net worth, income, investment experience, and investment objectives. [read post]
28 Jan 2016, 10:00 am
On December 4, 2015, UBS announced that it had suspended sales of the UBS ETRACS 2xMonthly Leveraged Long Alerian MLP ETN. [read post]
19 Mar 2018, 3:36 am
Schneiderman Announces $230 Million Settlement With UBS Over Misconduct Leading Up To Financial Crisis / Settlement Secures $189 Million in Consumer Relief for New Yorkers Impacted By the Housing Crash; $41 Million in Cash for New York State / Today’s Settlement Brings Total Cash and Consumer Relief Secured by AG Schneiderman in Aftermath of Financial Crisis Up to $3.93 Billion (New York State Attorney General Press… [read post]
9 Oct 2013, 5:58 am
Brokerage firms and financial advisers have a fiduciary duty to perform due diligence on any investment and to insure that an investment is appropriate in light of the investor’s age, investment experience, and investment objectives. [read post]
21 Nov 2011, 1:51 pm
The Associated Press recently reported that a former banker at the Swiss bank UBC AG was sentenced to five years on probation, but no time behind bars, for his role in a Miami tax fraud case. [read post]
18 Oct 2013, 7:54 am
Financial professionals have a responsibility, not only to make investment recommendations that are in the best interest of their client, but are required to take into account their client’s risk tolerance, financial objectives, investment experience, age, and net worth in order to make appropriate investment recommendations. [read post]
10 Aug 2008, 9:05 am
It wasn't an ad from an attorney, it had a reference to UBS.com.I thought someone was trying to spoof UBS' web site, or that it was someone trying to generate clicks from ARS holder by putting UBS' web site URL in the ad.I followed the link, and lo and behold, it was a link to the real UBS site, specifically a press release about the settlement with the NY AG, the SEC and the NASAA.An interesting concept, paying Google to advertise your… [read post]
29 Jan 2016, 6:51 am
UBS may redeem the Securities prior to the Maturity Date. [read post]
25 Feb 2009, 6:00 am
Robert Khuzami rises to enforcement chief at the SEC; Alabama's AG bests another pharmaceutical company; and the feds move to identify 52,000 UBS clients. [read post]
3 Jan 2020, 1:37 pm
In April, 2019, a customer alleged that Barrios invested her in stocks that were too risky for someone her age, that he took her money and traded it outside of UBS, and that she did not authorize stock trades. [read post]
14 Dec 2010, 6:04 pm
At least that's what the defendant put the odds at in this UBS case (via the AP):A former banker at Switzerland's UBS AG has been charged with tax fraud conspiracy for allegedly helping a wealthy U.S. client hide assets from the Internal Revenue Service.Banker Renzo Gadola was named in the charging document filed Tuesday in Miami federal court. [read post]
13 Feb 2014, 7:57 am
Brokerage firms and financial advisers have a fiduciary duty to perform due diligence on any investment and to insure that an investment is appropriate in light of the investor’s age, investment experience, and investment objectives. [read post]
14 Oct 2015, 6:03 pm
Have you suffered investment losses in UBS’ V10 Enhanced FX Carry Strategy? [read post]
29 Aug 2009, 10:05 am
Connecticut Attorney General Richard Blumenthal announced on Thursday that he has sent letters to the IRS and Department of Justice requesting the names of the 4,450 taxpayers to be released under the August 19 settlement agreement with UBS and the Swiss government. [read post]
22 Aug 2018, 3:58 am
Leitner invested over $750,000 the ETRACS 2x Leveraged Long Alerian MLP Infrastructure Index (“MLPL”), which had been issued by non-party UBS AG in July 2010. [read post]
18 Dec 2014, 10:42 am
UBS ETRACS Exchange-Traded Notes (ETN) are senior, unsecured, unsubordinated debt securities issued by UBS AG. [read post]
