UBS Financial Services fined over late disclosures
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UBS AG  UBS Financial Services Inc has been censured and fined $370,000 in a settlement with the Financial Industry Regulatory Authority (FINRA) for making what the self-regulatory group said were hundreds of late disclosures about its brokers.
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The leading Swiss banking group UBS announced a record net profit of 8.09 billion Swiss francs (5.30 billion euros, 6.62 billion dollars) in 2004, boosted by buoyant financial markets and increased fees.
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Banking giant UBS is cautious over prospects for the rest of the year after a lull in trading hurt its third-quarter profit, despite a strong showing by its blockbuster wealth management operation.
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Swiss bank UBSâs string of stinging financial disclosures is  symptomatic of how the subprime drama has unfolded in Europe and is stoking fears of more shocks to come.
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NEW YORK -- UBS AG was sued by New York State over allegations that Europe's largest bank defrauded thousands of brokerage clients out of tens of millions of dollars by steering them into costly accounts they didn't need.
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Massachusetts Secretary of State William F. Galvin yesterday accused the securities division of financial giant UBS of "dishonest and unethical business activities" for lavishing perks on hedge fund managers in order to get their lucrative trading business.
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Banking giant UBS (UBSN.VX: Quote, Profile, Research) was cautious over prospects for the rest of the year after a seasonal lull in trading hurt its third-quarter
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United Financial Group (UFJ), the Japanese bank, has been banned by the Financial Services Agency (FSA) from making loans to large companies in both of the countryâs two biggest industrial centres as punishment for deceiving inspectors during an
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UBS (NYSE:UBS) led European shares on a roller-coaster ride on Thursday when growing fears that losses at ailing bond insurers would pummell the banking sector capped the worst yet January for European stock markets.
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HFC bank is fined Â£1m for failings over payment protection insurance, the City regulator says.
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Singapore&#39;s central bank said Thursday it has fined three employees of the government&#39;s secretive investment fund for insider trading involving shares of a Japanese financial company.
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The New York attorney generalâs office accused UBS of shifting customers into fee-based accounts unsuited for infrequent traders.
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US life insurer Prudential Financial has been ordered to pay a 600 million dollar fine by the government after some of its brokers engaged in fraudulent trading of mutual fund shares, prosecutors said.
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The Financial Services Agency filed a criminal complaint Thursday against UFJ Bank and three former bank executives for interfering in an inspection last autumn.
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Swiss banking giant UBS said on Wednesday it would post a full-year loss of 4.4 billion Swiss francs (3.5 billion dollars, 2.75 billion euros) for 2007 due to its exposure to the US subprime crisis.
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BSA hands out the fines Three US financial services firms have paid large fines for using unlicensed software in their offices.â¦
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NEW YORK: The NASD yesterday said it censured and fined 29 securities firms a total of $US9.22 ($NZ13.04) million for failing to properly disclose required information about their brokers more than 8300 times.