Search for: "UBS AG"
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3 Jan 2020, 1:37 pm
In April, 2019, a customer alleged that Barrios invested her in stocks that were too risky for someone her age, that he took her money and traded it outside of UBS, and that she did not authorize stock trades. [read post]
14 Dec 2010, 6:04 pm
At least that's what the defendant put the odds at in this UBS case (via the AP):A former banker at Switzerland's UBS AG has been charged with tax fraud conspiracy for allegedly helping a wealthy U.S. client hide assets from the Internal Revenue Service.Banker Renzo Gadola was named in the charging document filed Tuesday in Miami federal court. [read post]
29 Aug 2009, 10:05 am
Connecticut Attorney General Richard Blumenthal announced on Thursday that he has sent letters to the IRS and Department of Justice requesting the names of the 4,450 taxpayers to be released under the August 19 settlement agreement with UBS and the Swiss government. [read post]
4 Aug 2010, 4:02 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS AG to pay $80.8 million to a Maryland cellphone marketer for lost profits when its cash was frozen in auction-rate securities in early 2008, according to an August 4, 2010 Wall Street Journal article by Randall Smith, “UBS to Pay $80 Million in Auction-Rate Case. [read post]
3 Nov 2008, 9:46 pm
UBS AG is facing a growing number of arbitration claims from U.S. investors who were sold supposedly "100 per cent principal protected notes" issued by Lehman Brothers Holdings, Inc., according to a November 3, 2008 article in Bloomberg by Bradley Keoun and David Scheer. [read post]
3 Sep 2012, 9:01 pm
UBS AG, et al. [read post]
30 Aug 2009, 10:21 pm
Saturday: CT AG Demands Access to 4,450 Taxpayer Names to be Released by UBS to IRS AICPA Urges Civil Tax Penalty Reform The 'Good Enough' Law Teacher VanderWolk Posts Tax Papers on SSRN Sunday: Top 5 Tax Paper Downloads UBS Tax Case Web Site District Court Rejects $690m Assignment of... [read post]
30 Aug 2012, 11:58 am
Former Swiss banker Bradley Birkenfeld has been released from prison where he had served 30 months of his 40-month sentence for his work at UBS, AG helping clients hide their [read post]
28 Nov 2017, 6:00 pm
According to research performed by UBS Group AG, salaries at firms managing the wealth of the ultra-rich have... [read post]
10 Sep 2010, 7:40 pm
A case to keep an eye on is In re UBS AG Sec. [read post]
15 May 2018, 12:00 pm
UBS recently conducted a survey among wealthy investors in 10 countries inquiring of their expectations and worries of aging to 100 years old. [read post]
16 Jun 2010, 5:50 pm
It explained that there has been a delay implementing the settlement, in disclosing the UBS AG bank customers who are suspected U.S. tax cheats. [read post]
30 Aug 2023, 8:09 pm
UBS To Pay Over $1.4B For Selling Mortgage-Backed Securities Broker-Dealer Held Accountable For Allegedly Negligent Sales Practices The US Department of Justice announced that UBS AG consented to pay $1.435B in penalties to settle claims accusing the financial firm of making misrepresentations when it sold residential mortgage-backed securities (RMBS) in 2006 and 2007. [read post]
9 Nov 2018, 11:42 am
According to DOJ’s press release: Earlier today, in federal court for the Eastern District of New York, the United States filed a civil complaint against UBS AG and several of its United States affiliates (together, “UBS”), alleging that UBS defrauded investors throughout the United States and the world in connection with its sale of residential mortgage-backed securities (RMBS) from 2006 through 2007. [read post]
18 Jul 2007, 5:29 pm
" UBS denied any wrongdoing, said it only settled to avoid litigation and is "disappointed with the AG's statement, which mischaracterizes the program and its operation. [read post]
23 Jun 2012, 3:28 pm
Gregoriou worked for the UBS AG (UBS) unit from ’07 to ’09. [read post]
11 Jun 2010, 12:23 pm
The Swiss government and Washington had painstakingly crafted the treaty last August to resolve a long-standing dispute over UBS AG's alleged role in aiding tax evasion, but 104 nationalist and left-wing lawmakers in Switzerland's lower house, the National Council, voted against the deal, compared to 76 in favor, after their demanded amendments were refused. [read post]
21 Jul 2011, 10:00 pm
An IRS webpage identifies U.S. residents accused of engaging UBS AG to maintain secretly opened Swiss or other foreign bank accounts: (Click On The Image To View The Webpage)* One person cited by this webpage is Ms. [read post]
11 Feb 2009, 9:35 am
Reacting to public pressure and direct governmental influence, UBS AG has decided to eliminate cash bonuses for senior executives of its investment bank, and plans to reduce bonuses firm-wide, according to an article by Carrick Mollenkamp in the February 6, 2009 edition of the Wall Street Journal. [read post]
14 Jul 2009, 10:29 am
SecuritiesIndustry.com is reporting that Goldman Sachs is not the only Wall Street firm taking an ex-employee to court with the charge of theft of trade secrets in the form of valuable, proprietary trading code.Swiss bank UBS AG confirmed Monday that it filed papers in March charging three ex-employees with "misappropriation of trade secrets. [read post]
