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Registered Rep.
March 1, 2007
Halah Touryalai |
SEC Cracks Insider-Trading Ring The SEC has charged 14 individuals -- including employees of UBS and Morgan Stanley -- with participating in two insider-trading schemes that generated at least $15 million in illegal profits.   |
Registered Rep.
February 18, 2009
John Churchill |
UBS Nailed With $780 Million Fine, Admits To Aiding Tax Dodge Clients The U.S. government has taken its pound of flesh from UBS today. According to a Department of Justice press release. |
Registered Rep.
November 12, 2002
Rick Weinberg |
Wealth Management R Us! The Gnomes of Zurich to Drop Kick the PaineWebber Name The century-old PaineWebber name is going to be dropped from UBS AG's brokerage and investment-banking businesses in 2003, the company says. The new name is to be, UBS Wealth Management USA. |
Registered Rep.
October 5, 2011
John Aidan Byrne |
UBS Says Headhunters Playing Dirty, Unfairly Smearing the Firm Despite extensive media coverage describing nervous financial advisors and clients at the firm, insiders contend that much of this unflattering coverage is over-the-top. |
The Motley Fool
May 4, 2007
Tom Taulli |
UBS Trims Its Hedge Stung by poor performance, the firm closes a key hedge fund. |
Registered Rep.
December 12, 2006
John Churchill |
Spitzer: Thousands of UBS Clients Raped by Wraps The New York Attorney General's Office announced today that it is suing UBS Financial Services for allegedly defrauding thousands of customers through its InsightOne fee-based brokerage program. |
Registered Rep.
January 12, 2006
John Churchill |
UBS Dinged $50 Million for Market Timing New York Stock Exchange Regulation, along with the New Jersey Bureau of Securities, today announced that UBS Financial Services was fined $49.5 million for failure to supervise the deceptive market timing activities of its brokers. |
Registered Rep.
May 8, 2008 |
UBS Needs A Lift Ticket UBS is facing serious scrutiny by the Securities and Exchange Commission and the Department of Justice to determine whether or not the bank aided clients in committing tax evasion from 2000 to 2007. |
The Motley Fool
November 25, 2011
Shubh Datta |
Another Investment Bank Chops and Changes UBS looks to shed its investment banking business. |
Registered Rep.
March 15, 2010
John Aidan Byrne |
McCann Is the Man at UBS; Name Change to PaineWebber? The much-anticipated revival plan for UBS Wealth Management Americas will cap off a series of recent organizational changes garnering support from an important constituency: advisors at the beleaguered brokerage. |
Registered Rep.
December 29, 2009
Halah Touryalai |
Principal-Protected Notes Not So Protected, FINRA Says. In a regulatory notice this month, FINRA warned firms offering structured products not to overstate their level of protection or their potential returns. |
BusinessWeek
July 25, 2005
Stanley Reed |
The Master Of Zurich How Peter Wuffli turned around UBS- and brought the glory days back to Swiss banking. |
Registered Rep.
June 26, 2008
John Churchill |
Tough Morning For Brokerage Sector Stomachs are surely turning at the wirehouse brokerage firms this morning. |
Registered Rep.
September 22, 2011
John Aidan Byrne |
McCann Memo Aims to Reassure Jittery UBS Brokers In a strongly-worded memo this week to employees at UBS Wealth Management Americas, CEO Bob McCann assured them that matters are under control. |
Registered Rep.
May 31, 2013
Megan Leonhardt |
Sizing Up the Street In the latest earnings cycle, here's how the wirehouses stacked up. |
Registered Rep.
March 1, 2007 |
Comings & Goings President and CEO of Janney Montgomery Scott, James Wolitarsky, will retire... UBS appointed Michael Roberts managing director and head of UBS Trust Services... Morgan Stanley hired 10 investment professionals... etc. |
Registered Rep.
August 6, 2010
John Aidan Byrne |
UBS Advisors Welcome Mortgage Rollout Financial advisors at UBS Wealth Management Americas closely watched this week as the U.S. brokerage rolled out plans to sell more of its own mortgage and lending products through its retail brokerage force. |
The Motley Fool
April 21, 2011
Matt Koppenheffer |
A Great New Model for Investment Banks UBS is charging ahead with a leadership position in helping the world understand what investment banks are really all about. |
Registered Rep.
May 4, 2010
John Aidan Byrne |
UBS Client Asset Outflows Slow in Q1 Improving market conditions softened the blow as total client assets hit $721.6 billion in the brokerage unit of the Swiss banking giant. |
Registered Rep.
August 31, 2010
John Aidan Byrne |
UBS Beefs Up Alt Investments for Risk Reduction Jerry Pascucci, a former Morgan Stanley Smith Barney executive, is joining UBS Wealth Management Americas on September 7 as head of alternative investments, according to an internal memo obtained by Registered Rep. |
Registered Rep.
April 6, 2009
John Churchill |
IRS Circling, UBS Bans Travel for Some Advisors The United States' ongoing hunt for tax cheats will be putting a crimp in some clients' quarterly portfolio reviews. |
BusinessWeek
March 12, 2007
Matthew Goldstein |
Homing In On Trading Abuses Do allegations that a UBS worker sold info to hedge funds signal a growing problem? |
CFO
June 1, 2008
Karen M. Kroll |
A Perceptive Postmortem UBS comes clean on the causes of its whopping write-downs. |
Registered Rep.
February 8, 2011
John Aidan Byrne |
Some Bright Spots Among the Red Ink for UBS UBS Wealth Management Americas added client assets and a handful of advisors in the fourth quarter, cushioning the blow from steep legal costs that resulted in a pre-tax loss of $34.6 million. |
Registered Rep.
October 27, 2009
John Aidan Byrne |
McCann Vows to Return UBS Wealth Management To Profitability New CEO Robert J. McCann says the wealth management division of UBS will not be put on the block. |
Investment Advisor
April 2010 |
B/D News Licensing for insurers and brokers... scamming Madoff victims... NASAA's settlement with UBS... |
Investment Advisor
October 2006
Kathleen M. McBride |
News & Products How sweet it is: KeyCorp is selling its McDonald Investments branch network to UBS... More than a slap: Prudential Securities, Inc. was ordered to pay $600 million to regulators... etc. |
The Motley Fool
September 25, 2007
Selena Maranjian |
Chinese Brokerages Are Opening Up China is now ready to permit foreign investment in its brokerage houses. Companies we might see making such investments include Morgan Stanley, UBS, and Citigroup. |
Financial Planning
August 1, 2008
Andrew Ackerman |
In First, Mass. Sues UBS In the first state-level lawsuit against an investment firm over auction-rate securities, Massachusetts has filed securities fraud charges against UBS for selling retail investors auction-rate paper as "liquid, safe, money-market" instruments even though the defendants knew it was not. |
