Search for: "UBS Financial Services"
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19 Jul 2008, 2:48 pm
The Boston Globe has reported that, in addition to UBS Financial Services, other major Wall Street firms expected the failure of the auction-rate securities markets prior to the collapse in February of this year, yet failed to warn investors of the impending disaster. [read post]
17 Jul 2008, 5:47 pm
Carey & Danis has filed class action lawsuits on behalf of persons who purchased auction-rate securities from UBS Financial Services and Wells Fargo & Co. [read post]
16 Jul 2008, 11:43 pm
Roger Duronio, a disgruntled former UBS PaineWebber employee was sentenced to 97 months in jail for planting a time-bomb program that destroyed files on thousands of computers inside the financial giant's computer network. [read post]
16 Jul 2008, 9:25 pm
Those firms include UBS Financial Services, Bear, Stearns & Co., Inc., Citigroup Global Markets, Inc., J.P. [read post]
14 Jul 2008, 5:51 pm
Carey & Danis has filed class action lawsuits on behalf of persons who purchased auction-rate securities from UBS Financial Services and Wells Fargo & Co. [read post]
11 Jul 2008, 7:39 pm
" E-mails released in the Massachusetts action against UBS also show that financial advisers were paid a marketing fee from the periodic auctions. [read post]
8 Jul 2008, 7:47 pm
While he was a broker for UBS Financial Services, Timothy Flynn sold $30 million in auction-rate securities to towns and cities in Massachusetts. [read post]
8 Jul 2008, 1:49 pm
In the Matter of UBS Securities, LLC and UBS Financial Services, Inc., Docket No. 2008-0045 (Mass. [read post]
8 Jul 2008, 12:47 am
Flynn alleges that UBS Financial Services forced him to resign as part of the firm's retaliation because he cooperated with regulators. [read post]
7 Jul 2008, 3:31 pm
According to a Boston Globe article written by Beth Healy, "State was warned on securities," UBS Financial Services Inc., JP Morgan Securities Inc., Lehman Brothers, Morgan Stanley, Bear Stearns Cos., and Merrill Lynch & Co. all knew the market was in distress. [read post]
1 Jul 2008, 9:49 pm
The Justice and Internal Revenue Service investigation has been aided by information from a former UBS banker, Bradley Birkenfeld, who pleaded guilty June 19 to helping his U.S. clients evade taxes. [read post]
26 Jun 2008, 11:05 pm
Massachusetts regulators filed civil fraud charges against UBS Financial Services on June 26 for allegedly claiming that risky auction-rate securities were as safe as cash. [read post]
26 Jun 2008, 12:29 pm
Today, the Massachusetts Secretary of the Commonwealth charged units of financial services giant UBS with fraud and dishonest conduct in sales of auction-rate securities. [read post]
25 Jun 2008, 2:45 pm
One of Connecticut’s wealthiest families has recently brought an attachment suit against UBS AG, UBS Securities, LLC and UBS Financial Services, Inc. in an effort to require UBS to set aside $150 million to cover a potential reward in an ongoing FINRA arbitration concerning auction rate securities “ARS”). [read post]
25 Jun 2008, 2:45 pm
One of Connecticut’s wealthiest families has recently brought an attachment suit against UBS AG, UBS Securities, LLC and UBS Financial Services, Inc. in an effort to require UBS to set aside $150 million to cover a potential reward in an ongoing FINRA arbitration concerning auction rate securities “ARS”). [read post]
19 Jun 2008, 3:55 pm
Until this past May, auction-rate securities were classified as "Cash alternatives/Municipal securities" on the customer statements issued by UBS Financial Services. [read post]
16 Jun 2008, 6:06 pm
The Boston Globe says it has reviewed documents that indicate that UBS Financial Services continued selling municipal bond investments without warning clients of the risks even though the firm already knew that trouble was brewing. [read post]
13 Jun 2008, 4:55 pm
The latest news in the auction-rate securities debacle is that UBS Financial Services might have known as early as December that a segment of the municipal bond business was in trouble, but the Wall Street firm kept selling the investments to some clients without warning them of the risk. [read post]
11 Jun 2008, 11:33 am
Documents reviewed by the Boston Globe reveal that UBS Financial Services knew of the looming collapse of the auction-rate securities market but it only tipped off a few select investors. [read post]
6 Jun 2008, 6:01 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]
