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26 Mar 2018, 2:59 pm
On March 20, 2018, UBS entered into a $230 million settlement with the New York Attorney General to resolve allegations against UBS under New York’s Martin Act and Executive Law arising from the creation, packaging, structuring, underwriting, issuance, and sale of fifteen residential mortgage-backed securities sponsored by UBS in 2006 and 2007. [read post]
13 Jun 2017, 6:48 am
On June 7, 2017, the Federal Reserve Board authorized an extension of up to five (5) years for Deutsche Bank AG, SVB Financial Group, and UBS Group AG to comply with certain aspects of the Dodd-Frank Wall Street Reform and Consumer Protection Act (often referred to as the Volcker rule) relating to “investments in certain ‘illiquid funds[.]'” Press Release. [read post]
8 Jul 2009, 9:34 am
Bloomberg.com, July 8, 2009 By David Voreacos and Mort Lucoff July 8 (Bloomberg) -- Switzerland said it would seize UBS AG data to prevent the U.S. [read post]
6 Mar 2020, 1:58 pm
They must ensure that all recommendations made are suitable in light of the client’s age, investment experience, net worth, income, and investment objectives. [read post]
24 Jun 2014, 11:36 am
In addition to the issues established by the SEC against UBS PR, another ominous shadow has been cast over the parent company of UBS AG. [read post]
3 Jul 2009, 11:14 am
The New Hampshire state securities regulator has accused a unit of UBS AG, of recommending unsuitable investments to customers who put their money into complex securities underwritten by Lehman Brothers Holdings, Inc. [read post]
3 Nov 2008, 9:46 pm
As detailed in this Reuters story, a former UBS executive is going to have to deal with a whole different kind of insider trading for more than six years in federal prison: A U.S. judge sentenced a former UBS AG executive to 6-1/2 years in prison on Monday for his role in what prosecutors called the most pervasive insider trading ring since the 1980s. [read post]
3 Feb 2012, 2:27 am
Gemäss heutiger Medienmitteilung hat die FINMA gegen die UBS AG ein formelles Enforcementverfahren im Zusammenhang mit den Handelsverlusten bei ihrer Investement Bank in London eröffnet. [read post]
5 Nov 2010, 6:38 pm
A Financial Industry Regulatory Authority arbitration panel has ordered UBS AG to pay two clients $529,688 over their purchase of Lehman Brothers Holdings notes. [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]
12 May 2008, 3:33 pm
UBS AG will pay approximately $35 million to approximately 20 Massachusetts towns and cities that invested in the auction rate securities market. [read post]
16 Sep 2009, 8:07 pm
UBS AG must post a $35.6 million bond, says Superior Court Judge John Blawie. [read post]
18 Feb 2009, 6:34 pm
UBS AG, Switzerland’s largest bank, has admitted to helping U.S. taxpayers hide bank accounts from the IRS and has entered into a deferred-prosecution agreement, the U.S. [read post]
6 Aug 2013, 8:22 am
The UBS Paulson Advantage Fund is a feeder fund that was recommended and sold by UBS Financial Services to its brokerage customers to invest in the Paulson & Co. [read post]
9 Oct 2013, 6:45 am
Brokerage firms and financial advisers have a fiduciary duty to perform due diligence on any investment they recommend and to insure that each recommendation is appropriate in light of the investor’s age, net worth, income, investment experience, and investment objectives. [read post]
25 Jun 2009, 12:26 pm
Steven Michael Rubinstein, a wealthy accountant for a yacht brockerage company in Boca Raton, became the first U.S. citizen to be charged in the government's investigation into taxpayers who hid assets from the IRS in the Swiss Bank UBS AG. [read post]
19 Jun 2011, 12:00 am
UBS AG, 9 Cardozo Pub. [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]
18 Mar 2013, 1:19 pm
Have you suffered losses as a result of your investment in UBS Willow Fund? [read post]
26 Nov 2009, 4:30 am
None of the entities sued by the SEC using the UBS name are related to or affiliated with UBS, AG, the Switzerland-based financial services firm. [read post]
