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8 Jul 2009, 9:34 am
Bloomberg.com, July 8, 2009 By David Voreacos and Mort Lucoff July 8 (Bloomberg) -- Switzerland said it would seize UBS AG data to prevent the U.S. [read post]
24 Jun 2014, 11:36 am
In addition to the issues established by the SEC against UBS PR, another ominous shadow has been cast over the parent company of UBS AG. [read post]
3 Jul 2009, 11:14 am
The New Hampshire state securities regulator has accused a unit of UBS AG, of recommending unsuitable investments to customers who put their money into complex securities underwritten by Lehman Brothers Holdings, Inc. [read post]
3 Nov 2008, 9:46 pm
As detailed in this Reuters story, a former UBS executive is going to have to deal with a whole different kind of insider trading for more than six years in federal prison: A U.S. judge sentenced a former UBS AG executive to 6-1/2 years in prison on Monday for his role in what prosecutors called the most pervasive insider trading ring since the 1980s. [read post]
3 Feb 2012, 2:27 am
Gemäss heutiger Medienmitteilung hat die FINMA gegen die UBS AG ein formelles Enforcementverfahren im Zusammenhang mit den Handelsverlusten bei ihrer Investement Bank in London eröffnet. [read post]
5 Nov 2010, 6:38 pm
A Financial Industry Regulatory Authority arbitration panel has ordered UBS AG to pay two clients $529,688 over their purchase of Lehman Brothers Holdings notes. [read post]
25 Jul 2008, 7:18 pm
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
12 May 2008, 3:33 pm
UBS AG will pay approximately $35 million to approximately 20 Massachusetts towns and cities that invested in the auction rate securities market. [read post]
16 Sep 2009, 8:07 pm
UBS AG must post a $35.6 million bond, says Superior Court Judge John Blawie. [read post]
25 Jun 2009, 12:26 pm
Steven Michael Rubinstein, a wealthy accountant for a yacht brockerage company in Boca Raton, became the first U.S. citizen to be charged in the government's investigation into taxpayers who hid assets from the IRS in the Swiss Bank UBS AG. [read post]
19 Jun 2011, 12:00 am
UBS AG, 9 Cardozo Pub. [read post]
8 Jul 2008, 7:47 pm
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
26 Nov 2009, 4:30 am
None of the entities sued by the SEC using the UBS name are related to or affiliated with UBS, AG, the Switzerland-based financial services firm. [read post]
8 Oct 2008, 1:56 pm
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
1 Nov 2011, 5:21 pm
("JP Morgan") and UBS AG ("UBS"). [read post]
22 Jul 2008, 1:23 pm
In the wake of a lawsuit by the Massachusetts Securities Division alleging fraudulent sales of auction rate securities (“ARS”), UBS AG reportedly plans to buy back as much as $3.5 billion in ARS-impacted preferred shares issued by tax-exempt closed-end funds. [read post]
21 Jun 2017, 8:50 am
(UBS) out of the firm’s Beverly Hills, California office location. [read post]
4 Nov 2011, 10:48 am
As the U.S. investment banking and securities arm of UBS AG, the giant Swiss financial services company, UBS provides investment banking, research, and sales and trading services, mostly to corporate and institutional clients. [read post]
4 Aug 2008, 11:45 am
On Friday, we noted a WSJ report that Aufhauser (pictured) had been highlighted in a civil fraud complaint filed by NY AG Andrew Cuomo against UBS for its actions in the auction rate securities market. [read post]
26 Jun 2008, 11:05 pm
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
