Based in Hong Kong, Lu Yeung, an analyst at UBS Securities, covers the alternative energy sector.
"Not at all, " says Gary Chan, associate research director for UBS Securities in Hong Kong.
Securities, Scotia Capital, GMP Securities, Desjardins Securities, Macquarie Private Wealth, Raymond James and UBS Securities Canada.
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Evercore Group, Goldman Sachs, RBC Capital Markets, and UBS Securities are acting as co-managers for the offering.
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"We haven't seen the bottom yet, " says Prasenjit K. Basu, associate director of strategy at UBS Securities in Singapore.
"We oppose any requirement that firms publicly disclose their fail positions, " wrote Gerard Citera, the executive director of U.S. equities at UBS Securities, in his letter on Sept. 22.
According to analysts a UBS Securities India, these acquisitions give Jain a fuller product range, enabling it to extend its reach into mature markets in the U.S. and Europe.
In the first scheme, a UBS Securities executive is accused of tipping off two traders to upcoming UBS stock research upgrades and downgrades, sharing the profits of trading on that nonpublic material information.
Chris Ahrens, head of U.S. interest-rate strategy at UBS Securities LLC. in Stamford, Connecticut, said the 10-year yield could trade in a range between 1.5% and 1.75% over the next three to six weeks.
WSJ: U.S. Stocks Tumble, Treasury Yields Sink to Record Lows
Mitchel Guttenberg, 41, an institutional client manager at UBS Securities, was charged with passing material--nonpublic information--to traders Erik Franklin, 39, formerly of Bear Stearns, and David Tavdy, 38, formerly of Assent, a New York broker-dealer.
William Galvin, the secretary of the commonwealth, charged UBS Securities Wednesday with several counts of dishonest and unethical business activities and failure to supervise employees after months of investigation into the firm's hedge fund hotel operations.
One popular real-estate strategy, according to Anthony D'Andrea, UBS's head of securities-based lending: Use a stock-based loan to make an all cash bid for a property, then refinance into a traditional mortgage once the deal is closed.
And, according to fraud charges filed Thursday by the Massachusetts securities regulator, the managing director of the UBS (nyse: UBS - news - people ) group responsible for auction rate securities in the U.S. began liquidating his own holdings just as that sales effort got off the ground.
The complaint alleges that UBS financial advisers sold auction rate securities to clients without making them aware of the risks.
But Chris L. Shaw, a UBS analyst, believes management won't take securities off the shelf anytime soon.
That left UBS and other brokerages with a growing inventory of securities on their books that they needed to sell.
From tax shelters, to auction rate securities issues and super-rogue traders UBS is no stranger to ugly press and massive fines.
FORBES: Why UBS Is Better Off Than Barclays In Libor Rigging Case
Most investors had already been expecting a relatively large write-down, based on the knowledge that UBS has been heavily involved in the issuing of collateralized debt obligations, or securities that have subprime debt packaged into them.
The lead managing underwriters were UBS Investment Bank, BofA Merrill Lynch, Citigroup, Morgan Stanley and Wells Fargo Securities.
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With the increasing globalization of the banking and securities industry, employees at firms such as Goldman Sachs, JP Morgan, UBS, Citibank, Morgan Stanley Smith Barney, etc.
FORBES: To Serve Man In Jerusalem or Pennsylvania In SEC Case
Regulators are looking at how much UBS insiders knew about the auction-rate market problems and what they disclosed to clients who bought the securities between August 2007 and February 2008, when the auction market fell apart.
Massachusetts securities regulator, William Galvin, said Tuesday he had demanded records of what went into analyst research at UBS and Bear Stearns on New Century and the subprime sector, citing a surge in foreclosures in his home state.
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