Search for: "UBS AG New York"
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26 Jul 2012, 10:00 pm
On March 27, 2012, Germany’s HSH Nordbank AG (“HSH”) was left with no hope to recover from a $500 million loss when a New York Appellate Court dismissed its last standing claim against UBS. [read post]
18 Feb 2010, 12:32 pm
The New York AG continues its aggressive enforcement in the auction rate securities (ARS) market, announcing today settlement of insider trading charges against David Shulman, formerly a top executive at UBS. [read post]
24 Jul 2008, 2:10 pm
[JURIST] New York Attorney General Andrew Cuomo [official profile] filed a lawsuit [complaint, PDF] against financial firm UBS [corporate website] on Thursday for allegedly misrepresenting so-called "auction rate securities" as low-risk despite the actual volatility of such investments. [read post]
6 May 2008, 10:44 am
Ailing UBS sells assets to BlackRock: Investment News reports - "Facing more than $37 billion in subprime-related write-downs, UBS AG announced today a preliminary deal with New York-based asset manager BlackRock Inc. to sell off some of its troubled assets" [read post]
UBS Settles Fraud Charges in Municipal Bond Derivatives Transactions with Governments and Nonprofits
5 May 2011, 12:49 pm
The New York AG announced a multimillion dollar settlement with UBS for fraudulent and anticompetitive conduct in its municipal bond derivative transactions with governments and nonprofits across the country. [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]
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… [read post]
11 Nov 2020, 8:19 am
High Net Worth Individual Investor Alleges That UBS Group AG Persuaded Him To Buy On Margin Guo Wengui, a rich Chinese businessman exiled in New York, has filed a lawsuit against UBS Financial Group after losing $500M. [read post]
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]
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]
29 Apr 2014, 8:08 am
On April 17, Justice Marcy Friedman of the Supreme Court of the State of New York dismissed most claims in a suit against UBS AG and its subsidiaries arising out of RMBS purchases by plaintiff Deutsche Zentral-Genossenschaftsbank AG (DZ Bank). [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]
30 Oct 2008, 11:10 pm
The New York Attorney General's Office says it has reached a $6.5 million settlement agreement with former UBS AG co-general counsel David Aufhauser over insider trading charges. [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]
30 Jul 2018, 3:15 pm
Bank filed suit against UBS in the Southern District of New York in 2012 seeking $2 billion for UBS’s alleged breach of representations and warranties about those loans. [read post]
29 Apr 2014, 8:10 am
., Ameritas Life Insurance Corp. and Acacia Life Insurance Company, on the one hand, and UBS AG, UBS Securities LLC and Mortgage Asset Securitization Transactions, Inc., (collectively, UBS), on the other, filed a motion in the United States District Court for the Southern District of New York seeking voluntary dismissal based on the fact that they had reached a settlement. [read post]
13 Feb 2009, 7:19 am
In the US District Court for the Southern District of New York, UBS AG was named as a defendant in a class action lawsuit alleging that the company engaged in a tax scam designed to help rich US investor avoid federal taxes. [read post]
18 Jan 2019, 12:53 pm
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]
8 Oct 2008, 1:56 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]
19 Mar 2018, 3:36 am
Schneiderman Announces $230 Million Settlement With UBS Over Misconduct Leading Up To Financial Crisis / Settlement Secures $189 Million in Consumer Relief for New Yorkers Impacted By the Housing Crash; $41 Million in Cash for New York State / Today’s Settlement Brings Total Cash and Consumer Relief Secured by AG Schneiderman in Aftermath of Financial Crisis Up to $3.93 Billion (New York State Attorney General Press… [read post]
