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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?   |
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.
April 1, 2007 |
Blotter Inside Job: The SEC charged 14 people in March in what one SEC official described as the biggest insider-trading scheme... Ponzi Scheming Manager: William Sirls, a former Wachovia branch manager was charged in early March with stealing... |
Registered Rep.
November 12, 2008
John Churchill |
UBS Executive Indicted, Faces Up To Five-Years Jail Time The U.S. Government's investigation of cross-border business by UBS has resulted in an indictment of Raoul Weil, Chairman and CEO of UBS Global Wealth Management and Business Banking. |
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. |
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. |
Registered Rep.
June 6, 2008
John Churchill |
UBS Considers Divulging Client Names In Tax Evasion Case The Swiss bank may divulge the names of 20,000 of its wealthy US clients as one of its top private bankers faces a Florida court. |
Registered Rep.
July 28, 2009
John Churchill |
IRS Tailing UBS Bankers and Advisors The IRS has upped the ante in its fight to gather thousands of names of alleged tax-dodging American UBS clients, by sending IRS agents to tail the firm's bankers and financial advisors as they visit clients. |
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.
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. |
BusinessWeek
July 25, 2005
Frederik Balfour |
Eager To Shepherd Asia's New Money Asia has been minting new millionaires faster than any other region in the world, a fact that hasn't been lost on UBS. |
BusinessWeek
June 2, 2011
David Voreacos |
The IRS Grills Taxpayers on Offshore Accounts IRS agents and prosecutors have interviewed more than 200 offshore-bank clients to learn who helped them avoid taxes. |
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. |
Registered Rep.
April 16, 2009
John Churchill |
UBS to Cut Lower Producing Advisors The 8,700 jobs UBS plans to cut by the end of 2010 will include 2,000 in the Wealth Management division, many of them financial advisors. |
Investment Advisor
May 1, 2011
Kathleen McBride |
UBS to Pay FINRA Fine and Restitution to Investors in Lehman PPNs Bank BD to pay over $10 million in fines for omissions and misleading investors |
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. |
BusinessWeek
February 11, 2010
Elena Logutenkova |
No Time to Rest at UBS The Swiss bank is profitable again - but CEO Grubel still needs to stem the exodus of wealthy clients. |
Registered Rep.
April 14, 2010
John Aidan Byrne |
UBS Retail Brokerage Nearing a Turnaround? Client asset withdrawals have slowed at the embattled U.S. wealth management business of UBS where, in a positive sign to investors, it reported much stronger first quarter pre-tax profit than previously expected. |
Registered Rep.
June 9, 2008 |
Credit Downgrades, More Write-Downs And The ARS Market Credit downgrades to MBIA and AMBAC Financial Group, the world's largest bond insurers, will lead to more write-downs at Citigroup, Merrill Lynch and UBS, according to a new research report. |
The Motley Fool
July 31, 2009
Rich Smith |
This Just In: Upgrades and Downgrades UBS boots up for video games, is optimistic on some e-commerce businesses, neutral on others. |
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. |
The Motley Fool
July 2, 2008
Tom Hutchinson |
UBS Purges Board Heads roll as UBS faces a myriad of financial and legal problems. |
Registered Rep.
July 8, 2009 |
Is UBS' Marten Hoekstra On the Way Out? A story in the Financial Times teasingly suggests UBS US Wealth Management is in for a big change at the top. |
The Motley Fool
August 13, 2008
Alex Dumortier |
Is UBS Calling the End of Universal Banks? UBS is reversing its "one bank" strategy by giving increased autonomy to its three businesses: Investment Banking, Wealth Management, and Asset Management. |
The Motley Fool
May 4, 2007
Tom Taulli |
UBS Trims Its Hedge Stung by poor performance, the firm closes a key hedge fund. |
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. |
The Motley Fool
January 12, 2012
Rebecca Lipman |
Avoiding "Group Think": Barclays and UBS Analysts Are Bullish for These 10 Stocks Looking for ideas on how to find stocks poised to outperform? One source is the sell-side ratings from various banks and firms, usually phrased positively as "buy" or "overweight." |
Financial Planning
June 1, 2008
Dakin Campbell |
UBS to Exit Muni Biz UBS confirms reports that it will exit or sell the institutional municipal securities group in an effort to focus on core client businesses after reporting first-quarter 2008 losses of $11 billion. |
The Motley Fool
September 15, 2011
Cliff D'Arcy |
Rogue Trader Loses UBS $2 Billion Switzerland's banking giant admits to an unauthorized loss of nearly 1.3 billion pounds! |
Registered Rep.
October 26, 2010
John Aidan Byrne |
UBS Stops the Bleeding, Adds Retail Client Assets Clients assets at UBS Wealth Management Americas outpaced withdrawals in its latest third-quarter results, a singular achievement last reported by the brokerage unit in the first quarter of 2009. |
The Motley Fool
December 18, 2009
Rich Smith |
This Just In: Upgrades and Downgrades UBS goes drilling in the oil patch. On Thursday, UBS established new buy ratings for a trio of deepwater oil drillers: Transocean, Pride International, and Diamond Offshore. |
The Motley Fool
November 25, 2011
Shubh Datta |
Another Investment Bank Chops and Changes UBS looks to shed its investment banking business. |
Registered Rep.
May 13, 2011
Bill Singer |
Blaming, Naming, and FINRA Gaming Suppose that an unhappy investor didn't specifically name you in a lawsuit or arbitration when he complained about your investing advice. You'd think that would get you off the regulatory disclosure hook, right? Think again. |
Registered Rep.
May 1, 2006
John Churchill |
Score One for Diversity UBS has hired a prominent black Smith Barney broker. |
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. |
