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24 Jul 2008, 5:31 pm
The story implies, but does not say, that the employees were selling their own auction rate securities, which if true, would be a severe blow to UBS.The original UBS - Massachusetts post is here.NY AG sues banking giant UBS for securities fraud: [read post]
26 Jul 2012, 10:00 pm
On March 27, 2012, Germany’s HSH Nordbank AG (“HSH”) was left with no hope to recover from a $500 million loss when a New York Appellate Court dismissed its last standing claim against UBS. [read post]
2 Aug 2012, 5:00 am
UBS AG, Mary Barker brought a case alleging that UBS AG (UBS) ended her employment in violation of the whistleblower provision of the Sarbanes-Oxley Act (“SOX”) under 18 U.S.C. [read post]
14 Oct 2021, 10:39 am
Read More The post CFTC Sanctions UBS AG $500,000 For Failing to Retain Certain Required Audio Recordings appeared first on CFTC Law. [read post]
19 Feb 2009, 7:25 am
Reuters reports that Swiss Bank UBS AG will give the U.S. [read post]
30 Jan 2011, 5:21 pm
UBS AG Yield Optimization Notes are considered a reverse convertible. [read post]
13 Nov 2019, 12:58 pm
UBS Group Fined $51M By Hong Kong Securities Regulator The Hong Kong Securities and Futures Commission (SFC) is ordering UBS Group AG (UBS) to pay a $51M fine for overcharging clients between 2008 and 2017. [read post]
19 Apr 2010, 7:48 pm
Birkenfeld turned over information to the IRS that led to a deal between UBS and AG Eric Holder to relinquish the names of 4,500 potential tax cheats. [read post]
11 Sep 2012, 11:14 am
The I.R.S. has awarded $104 million to a whistleblower in a tax fraud case against Swiss bank UBS AG. [read post]
11 Sep 2012, 11:14 am
The I.R.S. has awarded $104 million to a whistleblower in a tax fraud case against Swiss bank UBS AG. [read post]
17 Aug 2009, 9:24 am
Front-page story in today's Wall Street Journal: UBS Tax Crackdown Widens to Hong Kong, by Carrick Mollenkamp: The U.S. crackdown on clients of UBS AG is widening into a global hunt, with the government detailing in court documents how the Swiss bank and outside advisers helped Americans hide money using... [read post]
6 May 2008, 10:44 am
Ailing UBS sells assets to BlackRock: Investment News reports - "Facing more than $37 billion in subprime-related write-downs, UBS AG announced today a preliminary deal with New York-based asset manager BlackRock Inc. to sell off some of its troubled assets" [read post]
20 Oct 2020, 6:07 am
Today, UBS Group AG announced that its net profit nearly doubled in the third quarter to nearly $2.1 billion from $1.05 billion from a year earlier. [read post]
UBS Settles Fraud Charges in Municipal Bond Derivatives Transactions with Governments and Nonprofits
5 May 2011, 12:49 pm
The New York AG announced a multimillion dollar settlement with UBS for fraudulent and anticompetitive conduct in its municipal bond derivative transactions with governments and nonprofits across the country. [read post]
18 Feb 2009, 4:46 pm
The SEC filed an enforcement action against UBS AG, charging the firm with acting as an unregistered broker-dealer and investment adviser. [read post]
18 Jun 2008, 11:11 am
“Olivant … now holds 2.5 percent of the ordinary share capital of UBS AG, thereby demonstrating its belief in the potential restoration of shareholder value achievable through decisive action on [...] [read post]
20 Feb 2009, 3:09 am
A DOJ press release states that "UBS AG, Switzerland's largest bank, has entered into a deferred prosecution agreement on charges of conspiring to defraud the United States by impeding the Internal Revenue... [read post]
1 Apr 2009, 4:15 am
Swiss bank UBS AG appointed former Credit Suisse executive Ulrich Koerner as chief operating officer to oversee a drive to centralize group services, aiming to cut costs and boost profits, Reuters said. [read post]
15 Nov 2018, 4:00 am
(BAC), Credit Suisse Group AG (CS), Citigroup Inc. [read post]
11 Nov 2020, 8:19 am
High Net Worth Individual Investor Alleges That UBS Group AG Persuaded Him To Buy On Margin Guo Wengui, a rich Chinese businessman exiled in New York, has filed a lawsuit against UBS Financial Group after losing $500M. [read post]
