An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for Ubs (89 results)
- GUEST BLOG: [In]Securities: A Hard Rain's A-Gonna Fall: A Whistleblower Retaliation Case Washes Out by Aegis Frumento Esq
August 19, 2022 - GUEST BLOG: [In]Securities: Lip Service: The SEC, Reg S-ID, and the Majestic Equality of Regulation by Aegis Frumento Esq
August 5, 2022 - Love the One You Whiff: A Federal Case Involving Two Sets of Golf Clubs and a Winged Foot Membership
July 20, 2022 - UBS Sued in Federal Court Over Form 1099 Reporting
July 7, 2022 - For a Second Time, Federal Court Says Price Isn't Right In UBS Whistleblower Retaliation
April 11, 2022 - Federal Court Denies J.P. Morgan Securities Expedited Discovery in Solicitation Case
February 23, 2022 - JP Morgan Securities' Regional Director's Affidavit Fails to Carry Day in TRO for Impermissible Solicitation
January 25, 2022 - The European-Style Consolatory Cheek Kiss, the UBS Lawsuit, and the Certified Question
December 2, 2021 - Appellate Court Affirms $11.5 Million in Damages and Costs in Employment Defamation Case
November 23, 2021 - Sound of Silence From A FINRA Arbitration That Says Nothing About Anything Despite Awarding $650,000
November 22, 2021 - FINRA Arbitrators Find No Evidence For Customers' $10 Million UBS YES Claims
October 26, 2021 - FINRA Arbitrator Pens Perfect Rationale in UBS Expungement Award
August 23, 2021 - To Err Is Human. To Fine And Suspend Is FINRA
August 12, 2021 - FINRA Arbitrator Says It Wasn't UBS Fraud. It Was Covid
January 4, 2021 - FINRA Sanctions Former Morgan Stanley and UBS Reps Over Misuse of Customer Information
December 2, 2020 - DC Circuit Court Sustains SEC Orders Against Thaddeus North
October 27, 2020 - UPDATE: Court Confirms UBS Promissory Notes Arbitration Citing Delays And Doctor's Note
January 6, 2020 - Getting the Girl to Do It On Wall Street
October 4, 2019 - UBS Stockbroker Seeks Expungement of ARS Claim That Firm Says Wasn't Made
June 14, 2019 - UBS Wins EFL Arbitration On Wall Street With No Name
April 17, 2019 - UBS Wins Promissory Notes Arbitration After Four Delays And A Doctor's Note
March 29, 2019 - FINRA Regulatory Settlement About Vulnerable Individual Raises Troubling Questions
February 26, 2019 - UBS Wins FINRA Mandatory Arbitration Appeal
October 26, 2018 - FINRA Arbitrators Admit FINRA SEC Regulatory Settlements In UBS Puerto Rico Case
September 4, 2018 - Two Friends, Their Option Deal, A Stockbroker, His Restaurant, UBS, and FINRA
August 29, 2018 - 10 Year Employee Forgivable Loan Battle Frustrates UBS
August 13, 2018 - The Deceased Father, Claimant Mother, Daughter, Son In Law Stockbroker, and a Kickboxing Investment
June 26, 2018 - Financialindustryregulatory Arthur-Iddy's BrokenCzech Tool
April 30, 2018 - Stockbroker Expunges 7 Year Old UBS Customer Suitability Complaint
January 24, 2018 - FINRA Arbitrators See No UBS, Citigroup, or Merrill Customers And Dismiss Case
January 23, 2018 - FINRA Arbitrator Recommends Expungement of Three Customer Complaints
December 29, 2017 - The FINRA Gestalt
December 14, 2017 - UBS Employee Padussis Wins Best Left Unsaid Arbitration
September 25, 2017 - Chia Hair Plugs and 100% Principal Protected Lehman Brothers Notes
August 3, 2017 - UBS v. Fiore: Let The Games Begin
July 27, 2017 - Customer Gifts Shares To UBS Broker. FINRA Gifts Fine and Suspension to Rep
February 24, 2016 - SEC Reversed ALJ But Federal Court Reverses SEC
December 21, 2015 - FINRA Fines UBS Over Bloomberg Messages
September 16, 2015 - Hundreds of Thousands Defrauded In $50 Million Text Messaging Scam
May 29, 2015 - JPMorgan Chase, Citigroup, Barclays, RBS, And UBS Seek SEC Reg D Waivers
May 21, 2015 - UPDATE: Bill Singer's Ennui In Response To The DOJ FOREX Press Junket
May 20, 2015 - Unapproved USB Use Upsets UBS
April 27, 2015 - UBS Stockbroker Expungement in Lehman Bond Case
February 6, 2015 - FINRA Sanctions UBS Employees For Altered Records Part 3
November 24, 2014 - FINRA Sanctions UBS Employees For Altered Records Part 2
November 24, 2014 - FINRA Sanctions UBS Employees for Altered Records Part 1
November 24, 2014 - UBS Associate Goes Through ARS Meat Grinder
April 14, 2014 - UBS Prevails in $500,000 Promissory Note EFL Arbitration
December 30, 2013 - A UBS Promissory Note Arbitration Discloses 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 - 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