Search for: "UBS Group AG"
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9 Feb 2024, 12:46 pm
UBS Securities, LLC. [read post]
30 Aug 2023, 8:09 pm
UBS To Pay Over $1.4B For Selling Mortgage-Backed Securities Broker-Dealer Held Accountable For Allegedly Negligent Sales Practices The US Department of Justice announced that UBS AG consented to pay $1.435B in penalties to settle claims accusing the financial firm of making misrepresentations when it sold residential mortgage-backed securities (RMBS) in 2006 and 2007. [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]
4 May 2023, 5:56 pm
The reverberations echoed in Europe, sparking a renewed slump in Credit Suisse Group AG share prices, which resulted in a hastily arrange marriage with cross-town rival UBS Group AG orchestrated by the Swiss government. [read post]
18 Apr 2023, 12:48 pm
The Federal Reserve’s Board of Governors said it has approved UBS Group AG’s acquisition of the U.S. subsidiaries of Credit Suisse, clearing another major hurdle for the completion of the Swiss-brokered rescue deal. [read post]
22 Mar 2023, 9:29 am
Zamansky is investigating potential investment fraud claims related to the $17 billion write-down of Credit Suisse Group AG’s (Credit Suisse) contingent convertible (CoCo) bonds, also known as Additional Tier 1 (AT1) bonds. [read post]
20 Mar 2023, 11:59 am
AT1 Bonds to investors as well as the following Credit Suisse CoCo bond offerings: CS 7.500% Perpetual Corp (USD), Credit Suisse Group AG, CS 5.625% Perpetual Corp (SGD)*, Credit Suisse Group AG, CS 6.250% Perpetual Corp (USD), Credit Suisse Group AG, CS 7.250% Perpetual Corp (USD), Credit Suisse Group AG, CS 6.375% Perpetual Corp (USD), Credit Suisse Group AG, CS 5.250%… [read post]
6 Feb 2023, 9:05 pm
The sample consists of 584 U.S. citizens above the age of 18. [read post]
2 Feb 2023, 10:55 am
They must know, you know, what’s your age? [read post]
28 Nov 2022, 9:02 am
Actions by the SEC The SEC announced the following firms had agreed to pay fines of $125 million: Barclays PLC Bank of America Citigroup Credit Suisse Group AG Deutsche Bank AG Goldman Sachs Morgan Stanley UBS Jefferies and Nomura agreed that they would each pay $50 million in fines, while Cantor Fitzgerald LP agreed to pay $10 million. [read post]
21 Nov 2022, 9:02 am
Actions by the SEC The SEC announced the following firms had agreed to pay fines of $125 million: Barclays PLC Bank of America Citigroup Credit Suisse Group AG Deutsche Bank AG Goldman Sachs Morgan Stanley UBS Jefferies and Nomura agreed that they would each pay $50 million in fines, while Cantor Fitzgerald LP agreed to pay $10 million. [read post]
7 Oct 2022, 12:37 pm
Recommendations should be in line with the investor’s age, risk tolerance, net worth, and investment experience. [read post]
8 Sep 2022, 5:00 pm
(The decision overturned a nearly seven figure award which had been granted to a former UBS AG Group employee.)In Murray v. [read post]
28 Aug 2022, 9:45 am
From August 1997 through February 2002, Serizawa was registered with UBS Painewebber Incorporated. [read post]
28 Mar 2022, 6:40 pm
Other individuals joined the group, which became known as ACORN 8, and Reid told WNN that the group was “authorized to pursue a forensic accounting, independent audit, and expedited discovery to identify and protect ACORN assets and interests. [read post]
27 Jan 2022, 2:20 pm
Nino, aged 56, has one disclosure on his record. [read post]
6 Jan 2022, 1:22 pm
As if that were not enough, on December 30, 2021, New York (New York County) Supreme Court Judge Jennifer Schecter granted the motion to dismiss in the derivative action filed in the New York court against the board of UBS AG Group, a Swiss corporation. [read post]
2 Nov 2021, 8:49 am
ARGENTINA On 12 September 2021, President Alberto Fernández’s Justicialist party suffered significant losses in Argentina’s midterm primaries. [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]
17 Sep 2021, 11:50 am
The post FINRA Award: UBS to Pay Investors $358,000 for YES Strategy appeared first on The White Law Group. [read post]
