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30 May 2008, 4:25 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]
28 Feb 2007, 2:48 pm
The individuals charged include an institutional client manager in the equity research department UBS AG’s securities unit, registered representatives in the securities businesses of Bear Stearns and Bank of America and several hedge fund employees. [read post]
27 Feb 2009, 5:06 am
A Japanese unit of Switzerland’s UBS AG said its computer systems mistakenly placed a $31 billion order for convertible bonds of videogame maker Capcom Co on Wednesday, but it was able to cancel the trade at no cost. [read post]
8 May 2008, 3:07 am
In Going beyond Greek letters in Livemint, Amol Agrawal flags the issue by giving the example of the UBS annual report that was sent to its shareholders:"Swiss bank UBS AG has recently released a report where it has tried to explain to shareholders what went wrong in the subprime crisis. [read post]
21 Nov 2009, 9:00 pm
UBS AG, 1:09-cv-20423. [read post]
20 Nov 2020, 5:00 am
UBS AG (2014) alleged that UBS AG violated Item 105 by failing to disclose that the bank was engaged in tax evasion, while disclosing that it was being investigated by the DOJ. [read post]
18 Jan 2010, 12:56 pm
Januar 2010Der Anfang dieser Auseinandersetzung geht auf ein whistleblowing eines ehemaligen Kundenberaters der Beschwerdegegnerin (UBS AG) zurück (Sachverhalt A). [read post]
14 Apr 2014, 8:56 am
In this digital age there are still folks who physically cut-and-paste. [read post]
30 Nov 2020, 7:25 am
The orders were issued with respect to the Bombay Stock Exchange, the National Stock Exchange International Financial Service Centre Limited, the Montreal Exchange, NZX Limited and UBS AG. [read post]
29 Mar 2015, 4:30 am
Supreme Court over trademark infringement http://t.co/1cGgM2FM64 -> Bank of Montreal sues UBS AG to recover data allegedly stolen from defectors http://t.co/DfaCJ7YvWg -> Canadian Bar Association condemns Harper’s anti-terror bill http://t.co/b9xcg9MoFz -> Top Business Risks For Cloud Computing http://t.co/A8HdeZvkgD -> CBS Sued Over 'Hawaii Five-O' Theme by Composer's Family http://t.co/dNaPw7W5Hl -> Piracy-powered video streaming platform… [read post]
9 Aug 2011, 1:55 pm
In a separate development, Martin Lack, a former UBS AG banker and now a Swiss resident and investment consultant, was indicted on a charge of conspiring to help wealthy Americans evade taxes by hiding accounts in a smaller Swiss regional bank. [read post]
12 Jan 2011, 8:56 pm
Arising from the IRS’ successful effort to collect taxes from overseas bank accounts, in particular those held in Swiss bank UBS AG, the agency is now mulling replicating the steps taken with other overseas banks and financial centers. [read post]
9 Oct 2013, 12:39 pm
Brokerage firms and financial advisers have an obligation to insure that an investment is appropriate in light of the investor’s age, net worth, income, investment experience, and investment objectives. [read post]
20 Oct 2019, 12:48 pm
(The subtitle of his book is “Whistleblowing in the Age of Fraud. [read post]
17 Aug 2009, 7:31 am
Morgan Chase & Co., UBS AG and Goldman Sachs Group Inc., have settled with regulators, agreeing to buy back more than $60 billion in auction-rate securities from customers. [read post]
16 Jul 2012, 7:08 pm
While Barclays may have the settled the allegations for $450 million with the UK’s Financial Services Authority, the US Department of Justice, and the Commodity Futures Trading Commission, now a number of other financial firms are under investigation including UBS AG (UBS), JPMorgan Chase (JPM), Deutsche Bank AG, Credit Suisse Group (CS), Citigroup Inc., Bank of Tokyo-Mitsubishi UFJ, HSBC Holdings PLC (HBC-PA), Lloyds Banking Group PLC (LYG), Rabobank Groep… [read post]
11 Nov 2014, 11:09 pm
As explained in my prior post, Weil, a Swiss citizen, was the chief executive of UBS AG wealth management. [read post]
13 Oct 2011, 6:34 am
(S&C partners Bob Giuffra and Suhana Han represented both UBS and Porsche.) [read post]
11 Nov 2014, 11:09 pm
As explained in my prior post, Weil, a Swiss citizen, was the chief executive of UBS AG wealth management. [read post]
21 Aug 2009, 3:19 am
Via Curt Anderson:A banker and a lawyer from Switzerland were indicted Thursday on fraud charges for allegedly helping rich Americans evade taxes by hiding assets in Swiss banks, including UBS AG and a smaller Zurich-based institution. [read post]
