Search for: "UBS Group AG"
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13 Nov 2019, 12:58 pm
UBS Group Fined $51M By Hong Kong Securities Regulator The Hong Kong Securities and Futures Commission (SFC) is ordering UBS Group AG (UBS) to pay a $51M fine for overcharging clients between 2008 and 2017. [read post]
11 Nov 2020, 8:19 am
High Net Worth Individual Investor Alleges That UBS Group AG Persuaded Him To Buy On Margin Guo Wengui, a rich Chinese businessman exiled in New York, has filed a lawsuit against UBS Financial Group after losing $500M. [read post]
20 Oct 2020, 6:07 am
Today, UBS Group AG announced that its net profit nearly doubled in the third quarter to nearly $2.1 billion from $1.05 billion from a year earlier. [read post]
1 Apr 2009, 4:15 am
Swiss bank UBS AG appointed former Credit Suisse executive Ulrich Koerner as chief operating officer to oversee a drive to centralize group services, aiming to cut costs and boost profits, Reuters said. [read post]
21 Aug 2023, 9:42 am
UBS Settles Charges for fraud related to residential mortgage-backed securities (RMBS) UBS AG and affiliates have agreed to pay $1.435 billion in penalties to settle a civil action filed in November 2018 alleging misconduct related to UBS’ underwriting and issuance of residential mortgage-backed securities (RMBS) issued in 2006 and 2007. [read post]
15 Nov 2018, 4:00 am
(BAC), Credit Suisse Group AG (CS), Citigroup Inc. [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]
13 Oct 2015, 2:59 pm
The UBS V10 Currency Index with Volatility Cap is a proprietary index, developed and sponsored by UBS AG that measures the performance of a notional algorithmic trading strategy designed to identify and exploit trends in G10 foreign exchange forward rates. [read post]
2 May 2012, 6:42 am
It is being reported that, UBS AG will pay $26.6 million to resolve U.S. regulatory claims its Puerto Rico-based brokerage unit sold shares in mutual funds without disclosing that it was propping up the price of the funds in the secondary market. [read post]
8 May 2014, 3:08 pm
However this is one of the first class actions to claim that UBS Ag’s wealth management group violated its fiduciary duty when selling proprietary products included in the UBS Puerto Rico Family of Funds. [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]
6 Aug 2013, 8:38 am
The White Law Group is investigating the liability that brokerage firms may have for inappropriately recommending the UBS Carlyle Funds. [read post]
20 Jul 2021, 6:17 am
UBS hit with $8 Million for Unsuitable Sales of VXX Fund According to the US Securities and Exchange Commission on July 19, the regulator has charged the brokerage arm of UBS Group AG (UBSG.S) with regulatory failures in connection with the sales of a volatility-linked, exchange-traded product, called the iPath S&P 500 VIX Short-Term Futures ETN. [read post]
6 Mar 2020, 1:58 pm
The post UBS YES Strategy Investment Losses appeared first on The White Law Group. [read post]
3 Jan 2011, 12:24 pm
The article discusses FINRA’s decision to award Jeffrey Bischoff, former chief recruiter of UBS AG’s wealth-management group, $2.8 million in damages and other fees. [read post]
19 Feb 2009, 3:49 pm
UBS AG, has agreed to pay $780 million in order to avoid prosecution for conspiring to commit tax fraud in violation of 18 USC 371. [read post]
6 Aug 2013, 8:22 am
The White Law Group is investigating the liability that brokerage firms may have for inappropriately recommending the UBS Paulson Advantage Fund. [read post]
23 Jun 2014, 2:38 pm
According Bloomberg, “U.S. authorities in Puerto Rico are investigating allegations that a former UBS AG broker improperly advised clients to borrow money to make investments [.] [read post]
18 Mar 2013, 1:19 pm
Have you suffered losses as a result of your investment in UBS Willow Fund? [read post]
12 Jun 2019, 12:32 pm
Risk tolerance, age, and liquidity needs also need to be considered. [read post]
