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20 Sep 2010, 3:09 am
A motion by Swiss bank UBS AG to dismiss a class securities case—filed in the U.S. [read post]
16 Mar 2013, 7:26 am
UBS AG, the Court held that the plaintiffs had failed adequately to allege that UBS’s transfers of funds for the government of Iran were the proximate cause of the plaintiffs’ injuries suffered in terrorist attacks by Hamas and Hizbollah in Israel. [read post]
23 Feb 2009, 3:15 pm
The issue concerns the U.S. government’s recent court filing asking UBS AG to turn over the identities of 52,000 private accountholders. [read post]
3 Feb 2017, 6:31 am
From September 2010 until October 2016 Fagenson was associated with UBS Financial Services Inc. [read post]
26 Nov 2008, 8:40 pm
The Department of Justice indicted a UBS AG senior executive on November 12, alleging tax fraud. [read post]
29 Nov 2008, 11:34 am
To David Byrne at UB's Center for the Arts last night. [read post]
2 Feb 2010, 7:00 am
Moran had maintained secret Swiss bank accounts at UBS AG. [read post]
12 Jul 2018, 6:06 am
(UBS Financial) broker Samuel Rankin (Rankin). [read post]
1 Jul 2008, 9:06 am
In an unprecedented move against a foreign bank, the DOJ is seeking to force UBS AG to turn over the names of wealthy U.S. clients who allegedly used the giant Swiss bank to avoid taxes. [read post]
16 Aug 2009, 10:00 pm
UBS AG, 1:09-cv-20423. [read post]
23 Oct 2013, 8:03 am
In the context of the UBS fiasco, UBS will likely say that the only reason investors suffered losses is because of the poor economy in Puerto Rico. [read post]
2 Sep 2022, 5:42 am
The trial of the matter involved a former employee of UBS Securities, LLC and UBS AG (UBS) who was required by the Securities and Exchange Commission (SEC) to certify that his reports were produced independently and that they accurately reflected his views. [read post]
18 Feb 2009, 4:38 pm
Today, the government announced that UBS AG, Switzerland's largest bank, has admitted to helping U.S. taxpayers hide accounts from the IRS. [read post]
18 Feb 2009, 3:11 pm
Bloomberg reports that Swiss bank USB AG will pony up $780 million "to avoid U.S. prosecution and settle regulatory claims that it helped thousands of wealthy Americans use Swiss bank accounts to evade taxes. [read post]
12 Sep 2012, 6:06 am
From the Wall Street Journal: A former UBS AG banker who helped the U.S. government unleash an international crackdown on tax evasion was awarded $104 million in what is believed to be the largest-ever whistleblower payout to an individual. [read post]
26 Jun 2008, 12:29 pm
Up until this week, and not counting the Bear Stearns hedge-fund indictments, we’ve had more talk than action from the AGs offices around the country on the credit crisis. [read post]
19 Aug 2009, 10:34 am
UBS is considered the second largest wealth manager globally. [read post]
27 Sep 2019, 3:33 am
featured in today's Securities Industry Commentator: Fines UBS Financial Services Inc. $2 Million for Continued Failures Relating to Short Positions in Municipal Securities / Firm Inaccurately Represented the Tax Status of Thousands of Interest Payments to Customers; Restitution Ordered (FINRA Release)AG James Imposes $12.5 Million Penalty On Brokerage Firms For Martin Act Violations (NYAG Release)New Jersey Court Sustains Banking/Insurance Commissioners Penalties. [read post]
26 Nov 2013, 2:38 pm
Suitability is determined by such factors as net-worth, risk tolerance, age, and investment objectives. [read post]
3 Mar 2021, 6:16 pm
The full report of the Swiss NCP (Initial Assessment: Specific Instance regarding UBS Group AG submitted by the Society for Threatened Peoples Switzerland) follows along with the OECD Watch analysis and my own brief observations. [read post]
