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18 Jan 2013, 9:00 pm
Wall Street Journal | Dec 19, 2012 UBS AG became the second bank to settle accusations that it tried to rig benchmark interest rates, agreeing to pay roughly $1.5 billion in a deal with authorities in multiple countries that points to a broader manipulation scandal than previously known. [read post]
2 May 2012, 6:42 am
It is being reported that, UBS AG will pay $26.6 million to resolve U.S. regulatory claims its Puerto Rico-based brokerage unit sold shares in mutual funds without disclosing that it was propping up the price of the funds in the secondary market. [read post]
10 Jul 2009, 8:14 am
This time around, he's representing UBS. [read post]
22 Feb 2019, 8:14 am
The court found UBS AG and UBS (France) SA guilty of illicit solicitation and laundering of the proceeds of tax fraud. [read post]
22 Feb 2019, 8:14 am
The court found UBS AG and UBS (France) SA guilty of illicit solicitation and laundering of the proceeds of tax fraud. [read post]
7 Oct 2010, 4:42 am
"Former UBS AG client Federico Hernandez, who pleaded guilty to hiding Swiss accounts once valued at $8.8 million from U.S. tax authorities, was sentenced to a year in prison followed by six months of home confinement. [read post]
26 Feb 2015, 7:10 am
Birkenfeld will travel to Paris to comply with a French subpoena requiring him to testify against UBS AG. [read post]
21 Nov 2011, 6:00 am
Renzo Gadola worked for Swiss bank UBS AG from 1995 to 2008 and was arrested on November 8, 2010 on charges of conspiracy to defraud the United States after he helped wealth American's avoid paying U.S. taxes on assets held... [read post]
8 Nov 2018, 2:56 pm
UBS AG and several of its United States affiliates (together, UBS), has been sued by The United States Government alleging that UBS defrauded investors throughout the United States and the world in connection with its sale of residential mortgage-backed securities (RMBS) in 2006 and 2007. [read post]
18 Nov 2008, 2:18 pm
Last week I wrote about the cross-border woes of Swiss banking conglomerate, UBS AG - U.S. [read post]
18 Nov 2010, 3:43 am
The Internal Revenue Service has withdrawn its John Doe summons in the UBS AG case, IRS Commissioner Douglas Shulman announced… Read this entire article for free, activate your free 15 day trial access to Banking Report now. [read post]
17 Mar 2011, 3:51 pm
Rumors persist that Wells Fargo & Co. is in discussions with UBS AG about acquiring its retail-wealth-management operations in the U.S., according to Andrew Osterland [read post]
19 Feb 2009, 3:49 pm
UBS AG, has agreed to pay $780 million in order to avoid prosecution for conspiring to commit tax fraud in violation of 18 USC 371. [read post]
30 Jul 2012, 8:01 am
On July 25, Deutsche Zentral-Genossenschaftsbank AG (“DZ Bank”) filed a summons with notice against several UBS entities in the Supreme Court of the State of New York. [read post]
20 Jan 2009, 3:25 am
UBS AG, et al., No. 08-CV-6038 (D. [read post]
10 Sep 2009, 7:16 am
By CARRICK MOLLENKAMP and SERENA NG A Connecticut judge ordered UBS AG to set aside $35.5 million to cover a potential judgment against it in a case involving complex debt securities that the firm's employees called "crap" and "vomit," according the judge's Tuesday decision. [read post]
22 Sep 2010, 10:37 pm
Forbes, How A $200,000 UBS Account Grew Into A $21 Million Penalty, by Janet Novack: Another former holder of a secret UBS AG account got off with probation Tuesday, when federal sentencing guidelines suggested a sentence of six months to a year. [read post]
3 Nov 2015, 7:21 am
On October 13, 2015, the Securities and Exchange Commission (“SEC”), in its first case against an issuer of retail structured notes, filed an Order Instituting Cease and Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings and Imposing Remedial Sanctions and a Cease and Desist Order (the “Order”) against UBS AG (“UBS”). [read post]
13 Oct 2015, 2:59 pm
The UBS V10 Currency Index with Volatility Cap is a proprietary index, developed and sponsored by UBS AG that measures the performance of a notional algorithmic trading strategy designed to identify and exploit trends in G10 foreign exchange forward rates. [read post]
8 May 2014, 3:08 pm
However this is one of the first class actions to claim that UBS Ag’s wealth management group violated its fiduciary duty when selling proprietary products included in the UBS Puerto Rico Family of Funds. [read post]
