Search for: "UBS Group AG"
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8 Feb 2016, 1:00 am
UBS AG v Commissioners for Her Majesty’s Revenue and Customs, heard 3 December 2015. [read post]
12 Jul 2012, 6:26 am
But when Credit Suisse Group AG began issuing shares one month later, the share price of the ETN suddenly collapsed back to the NAV and wiped out $172 million in one trading day. [read post]
1 Dec 2011, 2:22 pm
Creditors Connection * Nationstar Mortgage * PNC * Residential Finance Corp. * SAXON * Springleaf Finance * TCF Financial Corp. * UBS * U.S. [read post]
29 Jan 2016, 7:30 am
UBS AG v Commissioners for Her Majesty’s Revenue and Customs, heard 3 December 2015. [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors Capital Diehlman,… [read post]
12 Dec 2011, 8:12 am
Creditors Connection * Nationstar Mortgage * PNC * Residential Finance Corp. * SAXON * Springleaf Finance * TCF Financial Corp. * UBS * U.S. [read post]
19 May 2021, 8:34 am
Targeting investors in particular groups—such as those who are aging or for whom English is a second language—is referred to as affinity fraud. [read post]
23 Oct 2015, 6:48 am
It is part of a broader U.S. crackdown on undeclared offshore accounts that has ensnared big Swiss banks such as UBS Group AG, but has received scant attention because it mostly involves little-known firms and relatively small fines. [read post]
17 Mar 2014, 4:34 am
Barnes (as former Court Appointed Receiver) v The Eastenders Group & Anor, heard 24 – 25 February 2014. [read post]
20 Dec 2018, 8:00 am
Nov. 14, 2018), available here, the question presented was whether the Kovel Doctrine protected communications between Citco Group’s in-house lawyers and its outside counsel where those communications included non-lawyers at UBS AG, which served as Citco Group’s investment banker on the subject transaction. [read post]
20 Dec 2018, 8:00 am
Nov. 14, 2018), available here, the question presented was whether the Kovel Doctrine protected communications between Citco Group’s in-house lawyers and its outside counsel where those communications included non-lawyers at UBS AG, which served as Citco Group’s investment banker on the subject transaction. [read post]
2 Jan 2018, 9:42 am
Scottish Re Group Ltd (Analyzing Rule 12A of the Rules of the Grand Court of the Cayman Islands) In Davis v. [read post]
23 Dec 2011, 8:57 am
GE Funding is the fifth financial institution to settle with the multistate working group in the ongoing municipal bond derivatives investigation following Bank of America, UBS AG, JP Morgan and Wachovia. [read post]
31 May 2013, 9:32 am
In the wake of this settlement, investigative agencies around the world began to look deeper into Libor rate fixing, leading to a $750 million settlement by the Royal Bank of Scotland and a record-setting $1.5 billion settlement by UBS AG. [read post]
18 Jul 2012, 8:29 pm
Credit Suisse Group AG (CS) was one of the buyers. [read post]
27 Sep 2017, 9:18 am
” Joining in the event as sponsors were Chain | Cohn | Stiles (presenting sponsor), Chevron, Wells Fargo, Kern County Prosecutors Association, Special Treatment Education & Prevention Services Inc., FedEx, Johnson Attorneys Group, Kern Schools Federal Credit Union, Ira and Carole Cohen of UBS Financial Services, and Davita. [read post]
28 Aug 2022, 9:45 am
From August 1997 through February 2002, Serizawa was registered with UBS Painewebber Incorporated. [read post]
8 Aug 2012, 4:01 pm
Goldman Sachs Group. [read post]
27 Sep 2017, 9:18 am
” Joining in the event as sponsors were Chain | Cohn | Stiles (presenting sponsor), Chevron, Wells Fargo, Kern County Prosecutors Association, Special Treatment Education & Prevention Services Inc., FedEx, Johnson Attorneys Group, Kern Schools Federal Credit Union, Ira and Carole Cohen of UBS Financial Services, and Davita. [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]
