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13 Nov 2019, 12:58 pm by Shepherd Smith Edwards & Kantas, LLP
UBS Group Fined $51M By Hong Kong Securities Regulator The Hong Kong Securities and Futures Commission (SFC) is ordering UBS Group AG (UBS) to pay a $51M fine for overcharging clients between 2008 and 2017. [read post]
13 Nov 2019, 12:58 pm by Shepherd Smith Edwards & Kantas, LLP
UBS Group Fined $51M By Hong Kong Securities Regulator The Hong Kong Securities and Futures Commission (SFC) is ordering UBS Group AG (UBS) to pay a $51M fine for overcharging clients between 2008 and 2017. [read post]
1 Apr 2009, 4:15 am
Swiss bank UBS AG appointed former Credit Suisse executive Ulrich Koerner as chief operating officer to oversee a drive to centralize group services, aiming to cut costs and boost profits, Reuters said. [read post]
13 Jun 2017, 6:48 am by Michael Sugarman
  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]
15 Oct 2015, 9:53 am by Kate Maddox
As reported by The Wall Street Journal on October 13, 2015 (“UBS in $19.5 Million Settlement Over Structured Notes”), UBS Group AG has agreed to pay $19.5 million to settle charges from the U.S. [read post]
13 Oct 2015, 2:59 pm by James Galvin
The UBS V10 Currency Index with Volatility Cap is a proprietary index, developed and sponsored by UBS AG that measures the performance of a notional algorithmic trading strategy designed to identify and exploit trends in G10 foreign exchange forward rates. [read post]
23 Aug 2019, 6:57 am by Kate Maddox
On August 23, 2019, an extensive article in The Wall Street Journal (“UBS Faces Client Backlash over Options Strategy”), exposed a complex investment strategy pitched as low-risk by stockbrokers at UBS Group AG (NYSE – UBS) that has triggered a backlash from clients of its securities unit. [read post]
2 May 2012, 6:42 am by D. Daxton White
It is being reported that, UBS AG will pay $26.6 million to resolve U.S. regulatory claims its Puerto Rico-based brokerage unit sold shares in mutual funds without disclosing that it was propping up the price of the funds in the secondary market. [read post]
8 May 2014, 3:08 pm by D. Daxton White
However this is one of the first class actions to claim that UBS Ag’s wealth management group violated its fiduciary duty when selling proprietary products included in the UBS Puerto Rico Family of Funds. [read post]
31 May 2017, 10:29 am by Jeffrey A. Newman
Bradley Birkenfeld, the former UBS Group AG banker who became a whistleblower helping U.S. authorities prosecute the Swiss bank for tax fraud and who won a $104 million award, has now filed a libel lawsuit against  UBS over concerning statements he published last November and this month by the New York Post and Bloomberg BNA Daily Tax Report. [read post]
27 Nov 2015, 1:00 am by Dave Johns, Olswang LLP
  On the 3 December 2015 the Supreme Court will hear HMRC’s appeal of the decision in DB Group Services (UK) Ltd v HMRC and HMRC v UBS AG [2014] EWCA Civ 452. [read post]
6 Aug 2013, 8:38 am by D. Daxton White
The White Law Group is investigating the liability that brokerage firms may have for inappropriately recommending the UBS Carlyle Funds. [read post]
6 Mar 2020, 1:58 pm by Renae Lloyd
  The post UBS YES Strategy Investment Losses appeared first on The White Law Group. [read post]
19 Feb 2009, 3:49 pm
UBS AG, has agreed to pay $780 million in order to avoid prosecution for conspiring to commit tax fraud in violation of 18 USC 371. [read post]
6 Aug 2013, 8:22 am by D. Daxton White
The White Law Group is investigating the liability that brokerage firms may have for inappropriately recommending the UBS Paulson Advantage Fund. [read post]
23 Jun 2014, 2:38 pm by D. Daxton White
According Bloomberg, “U.S. authorities in Puerto Rico are investigating allegations that a former UBS AG broker improperly advised clients to borrow money to make investments [.] [read post]
31 Oct 2013, 7:18 am by D. Daxton White
The White Law Group continues to investigate potential claims involving the UBS Puerto Rico Bond crisis and to file claims on behalf of investors who have suffered losses as a result of their investments in the UBS Family of Puerto Rico Funds. [read post]