An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for Ubs (42 results)
- A UBS Promissory Note Arbitration Disclose The Hidden Costs Of Litigation
April 29, 2013 - Negligence Prompted Good Faith Alteration Of UBS Customer Phone Records
April 19, 2013 - UBS Loses Lawsuit After Former Employee Calls Firm Immoral and Unethical
April 10, 2013 - No Error Of Margin In $25 Million UBS Lawsuit
April 8, 2013 - UBS Wins Promissory Note Case
February 14, 2013 - UBS And Merrill Lynch Win $2.5 Million DotCom Customer Case
February 11, 2013 - Ghosts Of Christmas Past Visit NYSE And ICE
December 20, 2012 - UBS Exposes Its Frivolous Briefs In $21 Million FINRA Customer Arbitration
May 10, 2012 - UBS To Pay Nearly Nearly $2 Million ETF Fine and Restitution
May 2, 2012 - Madoff, GM, UBS Name Droppers Charged In Federal Investment Fraud
April 19, 2012 - Firm Submits Erroneous Trade But Sues UBS For Its Failure To Cancel
March 28, 2012 - The Old Client Phone Number and Email Address Switcheroo Backfires on UBS Broker
March 7, 2012 - UBS Loses Million Dollar Promissory Note Arbitration Against Former Employee
February 8, 2012 - Former UBS Employee Sues Over U5 Failure to Disclose 2003 Termination
December 28, 2011 - Former UBS Employee Sentenced to Prison In Online Gambling Fraud
December 1, 2011 - Former UBS Broker Sues Firm For $3.8 Million in Deferred Comp and Unused Vacation Time
November 29, 2011 - UBS Goes After Former Broker for Three Promissory Notes
November 29, 2011 - UBS Broker Wrongly Named In Customer Arbitration Forced Into Expungement Nightmare
October 14, 2011 - UBS Admonished for Unilateral Decision to Close Kalamazoo Office in FINRA Promissory Note Arbitration
August 4, 2011 - Employee Forgivable Loans (EFL) and Wall Street Promissory Notes (PN) Round-up
August 4, 2011 - UBS Broker Wins FINRA Expungement After Customer Sues Over Lehman and Citigroup Losses
July 26, 2011 - SEC Puts the Hurt on Hertz -- but is that fair and balanced?
July 8, 2011 - SEC Grants Reg D and Reg A Exemptions to UBS -- Apology accepted.
June 9, 2011 - Losing the Battle of the Water Cooler: UBS's Promissory Note Arbitration Against Former Employee
June 3, 2011 - Unnamed UBS Brokers Demand Expungement in FINRA Arbitration
June 2, 2011 - Claimant Throws Kitchen Sink at UBS -- But Gets Flushed Down the Drain
May 26, 2011 - UBS Pays $160 Million Restitution in Antitrust Muni Settlement
May 6, 2011 - UBS's Costly (or somewhat) Runaround of Client
May 2, 2011 - UPDATE: Poteroba Sentenced in Insider Trading Criminal Case
March 30, 2011 - UBS Client Pleads Guilty in Tax Case
March 10, 2011 - UBS FINRA Expungement: Good news and bad news for unnamed stockbroker
February 23, 2011 - An Open or Shut Forgivable Loan Case Vexes UBS
February 2, 2011 - Second Criminal Defendant Pleads Out in UBS Insider Trading Case
January 8, 2011 - UBS Banker Poteroba Pleads Guilty
December 27, 2010 - UBS Loses Lehman Structured Notes Arbitration.
December 5, 2010 - A Closed Branch Shuts Door On UBS's Claim for EFL / Promissory Note Repayment
November 23, 2010 - Did You Hear About The FINRA Arbitration Claimant Seeking Over $22 Million in Damages?
November 1, 2010 - Former UBS Employee Settles With Firm and Obtains Expungement of U5
August 31, 2010 - UBS Loses $80 Million ARS Arbitration
August 4, 2010 - Public Customer Wins FINRA Arbitration But Comes Out a Loser
May 26, 2010 - UBS Wins $800,000 Against Former Employee, Who Wins $300,000 Against UBS.
May 20, 2010 - UBS: You and Us (keep it quiet...we're in this jam together)
February 18, 2009