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14 Aug 2008, 5:25 pm
UBS Warburg, L.L.C., 217 F.R.D. 309, 322 (S.D.N.Y. 2003), the magistrate judge required Rite Aid to produce the documents at its own expense. [read post]
11 Aug 2008, 9:12 am
Certainly, there were a few other state regulators involved, but NY AG Andrew Cuomo is responsible for orchestrating last week’s spate of settlements that will result in Merrill, Citi and UBS buying back more than $35 billion of illiquid auction-rates. [read post]
10 Aug 2008, 9:05 am
It wasn't an ad from an attorney, it had a reference to UBS.com.I thought someone was trying to spoof UBS' web site, or that it was someone trying to generate clicks from ARS holder by putting UBS' web site URL in the ad.I followed the link, and lo and behold, it was a link to the real UBS site, specifically a press release about the settlement with the NY AG, the SEC and the NASAA.An interesting concept, paying Google to advertise your… [read post]
8 Aug 2008, 4:46 am
UPDATE: It appears that UBS got the memo, too; the August 8, 2008 headlines include reports that UBS will be entering its own deal today with state and federal regulators (refer here). [read post]
5 Aug 2008, 3:36 pm
Cuomo's office has already filed a lawsuit against UBS AG, accusing the Swiss bank's executives of selling their personal holdings in auction-rate securities in the months leading up to the market's collapse, based on knowledge of problems in the market. [read post]
4 Aug 2008, 11:45 am
On Friday, we noted a WSJ report that Aufhauser (pictured) had been highlighted in a civil fraud complaint filed by NY AG Andrew Cuomo against UBS for its actions in the auction rate securities market. [read post]
2 Aug 2008, 9:52 am
In this day and age, what is the stupidest, dumbest, most "arcane" method of communication when you are going to do something that is illegal, immoral or unethical? [read post]
2 Aug 2008, 9:45 am
First the tax fraud investigation, then the Auction Rate Securities lawsuits, then the Massacheuttes Attorney General's suit, and the New York AG's suit.Now this revelation from the Wall Street Journal - Today, the WSJ's Liz Rappaport reports that David Aufhauser, the former general counsel to the Treasury Department and the current GC for UBS's investment-banking arm is at the center of the complaint that New York AG Andrew Cuomo recently filed against… [read post]
1 Aug 2008, 9:15 am
Today, the WSJ’s Liz Rappaport reports that David Aufhauser, the former general counsel to the Treasury Department and the current GC for UBS’s investment-banking arm is at the center of the complaint that New York AG Andrew Cuomo recently filed against the Swiss bank for fraud in the ARS market. [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 Jul 2008, 7:18 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 Jul 2008, 3:17 am
New York State Attorney General Andrew Cuomo filed a securities fraud lawsuit today against UBS AG related to what he is alleging was the firm's fraudulent promotion of auction-rate securities as safe investments. [read post]
24 Jul 2008, 5:56 pm
People at the heart of the UBS tax fraud/evasion probe? [read post]
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]
24 Jul 2008, 2:10 pm
In the complaint, Cuomo alleges that UBS led investors to believe they could easily divest themselves of the [read post]
24 Jul 2008, 12:09 pm
This just in: as anticipated, New York Attorney General Andrew Cuomo said at a press conference just a few minutes ago that he has sued two UBS AG units for allegedly misrepresenting to clients the risks of auction-rate securities before the $330 billion auction-rate seized up earlier this year. [read post]
22 Jul 2008, 1:23 pm
In the wake of a lawsuit by the Massachusetts Securities Division alleging fraudulent sales of auction rate securities (“ARS”), UBS AG reportedly plans to buy back as much as $3.5 billion in ARS-impacted preferred shares issued by tax-exempt closed-end funds. [read post]
18 Jul 2008, 4:26 pm
Morgan Stanley UBS AG Freddie Mac Fannie Mae [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]
1 Jul 2008, 9:49 pm
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 [click here]. [read post]
