Search for: "UBS AG New York"
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28 Jan 2013, 9:46 am
According to SEC filings, the UBS Willow Fund was incorporated as a Delaware limited liability company, with its mailing address being 1285 Avenue of the Americas, New York, New York 10018. [read post]
19 Feb 2009, 3:49 pm
It appears that the amount of the settlement might have been higher, but for the current financial crisis, and the input of the Federal Reserve Bank of New York. [read post]
4 Feb 2013, 7:31 am
., Israel’s largest bank, filed summonses with notice against UBS AG, Goldman Sachs & Co., and their affiliates, in the Supreme Court for the State of New York. [read post]
30 Jul 2008, 9:05 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]
25 Feb 2010, 2:27 pm
As part of a deal to settle ARS insider trading allegations by New York Attorney General Attorney Cuomo, former UBS AG executive David Shulman has agreed to pay $2.75 million. [read post]
1 Oct 2014, 4:29 am
Hanwha Life Insurance, a Korean Insurance company, case against UBS AG was dismissed by a New York court. [read post]
10 Sep 2012, 7:57 am
On September 5, 2012 Sealink Funding Limited filed a summons with notice against UBS AG in the Supreme Court for the State of New York for allegedly misrepresenting the nature of nearly $160 million worth of RMBS securities. [read post]
1 Nov 2011, 5:21 pm
("JP Morgan") and UBS AG ("UBS"). [read post]
15 Feb 2011, 4:17 pm
The valuation had to take place because UBS's holdings of exchange seat assets were redistributed after the Commodity Exchange Inc. and the New York Mercantile Exchange merged. [read post]
29 Jun 2009, 6:50 am
" Previously posted: A defendant plead guilty in Florida to having failed to disclose his UBS account, reports the New York Times, June 26, 2009. [read post]
14 Sep 2012, 12:33 am
The Internal Revenue Service has issued a $104 million whistleblower award to Bradley Birkenfeld, a 47-year-old ex-banker who informed on UBS AG and how, for decades, the bank has allowed rich people to open accounts while they avoid paying taxes. [read post]
24 Jun 2014, 11:36 am
District Court for the Southern District of New York, a class action has been filed against the titan investment firm on behalf of seven of its investors. [read post]
23 Apr 2008, 10:58 am
In the latest development arising from recent concerns regarding auction rate securities, the New York Attorney General has reportedly launched a wide-ranging criminal investigation by serving subpoenas on 18 firms, including UBS AG, Citigroup, Inc., Merrill Lynch & Co., J.P. [read post]
18 Jul 2007, 5:29 pm
UBS Financial Services, Inc. will pay $23.3 million to settle charges by New York's Attorney General of "inappropriately steering" of brokerage customers into fee-based accounts. [read post]
7 Jun 2012, 10:59 am
Barker filed her complaint the following year contending that she was actually let go because she “discovered reporting discrepancies” while working on a project to “reconcile” UBS’s New York Stock Exchange holdings. [read post]
22 Aug 2018, 3:58 am
On February 8, 2017, Leitner filed a FINRA arbitration statement of claim against UBS Securities, which moved in the United States District Court for the Southern District of New York ("SDNY") to enjoin Leitner from proceeding with the arbitration. [read post]
27 Jan 2022, 2:20 pm
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. [read post]
29 Jun 2015, 10:56 am
On June 18, 2015, Justice Marcy Friedman of the New York Supreme Court dismissed RMBS fraud claims brought by Commerzbank AG London Branch (“Commerzbank”) against UBS, Nomura Holdings Inc., Barclays Bank PLC, Citigroup and other banks on the grounds that the fraud claims at issue were barred by the statute of limitations. [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 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]
