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20 May 2019, 6:08 am by Staff Attorney
According to BrokerCheck records financial advisor William Hobby (Hobby), formerly employed by UBS Financial Services Inc. [read post]
25 Feb 2019, 1:00 am by Matrix Legal Support Service
On Monday 25 and Tuesday 26 February, the Judicial Committee of the Privy Council will hear the appeal of UBS AG New York & Ors v Fairfield Sentry Ltd (In Liquidation) (British Virgin Islands). [read post]
22 Feb 2019, 8:14 am by Bruce Zagaris
  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 by Bruce Zagaris
  The court found UBS AG and UBS (France) SA guilty of illicit solicitation and laundering of the proceeds of tax fraud. [read post]
29 Jan 2019, 10:13 am by Matthew D. Lee
In March 2009, following the landmark agreement regarding offshore tax evasion struck by the United States with Switzerland’s largest bank, UBS AG, the IRS unveiled its now-famous “Offshore Voluntary Disclosure Program. [read post]
18 Jan 2019, 12:53 pm by Silver Law Group
Trevor Murray, an ex-UBS AG analyst, is asking a New York federal judge to award him $3.2 in attorneys’ fees from a lawsuit he filed against his former employer. [read post]
7 Jan 2019, 11:31 am by Renae Lloyd
Brokerage firms that sell such products are required to perform adequate due diligence on the investments to ensure a reasonable likelihood of success, and to evaluate whether the investments are suitable in light of the client’s age, net worth, investment experience, and investment objectives. [read post]
20 Dec 2018, 8:00 am by Todd Presnell
Nov. 14, 2018), available here, the question presented was whether the Kovel Doctrine protected communications between Citco Group’s in-house lawyers and its outside counsel where those communications included non-lawyers at UBS AG, which served as Citco Group’s investment banker on the subject transaction. [read post]
20 Dec 2018, 8:00 am by Todd Presnell
Nov. 14, 2018), available here, the question presented was whether the Kovel Doctrine protected communications between Citco Group’s in-house lawyers and its outside counsel where those communications included non-lawyers at UBS AG, which served as Citco Group’s investment banker on the subject transaction. [read post]
3 Dec 2018, 11:27 am by ccollins
Already, settlements have been reached with RBS NV, UBS (UBS), and BNP Paribas. [read post]
9 Nov 2018, 11:42 am by Ben Vernia
According to DOJ’s press release: Earlier today, in federal court for the Eastern District of New York, the United States filed a civil complaint against UBS AG and several of its United States affiliates (together, “UBS”), alleging that UBS defrauded investors throughout the United States and the world in connection with its sale of residential mortgage-backed securities (RMBS) from 2006 through 2007. [read post]
8 Nov 2018, 2:56 pm by Stephanie Abbott
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]
31 Aug 2018, 6:09 am by Staff Attorney
  From March 2003 to May 2009, Lofton was registered with UBS Financial Services inc. [read post]