Epstein Secrets

lients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform clients of Lehman's financial condition prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents

information about corporate governance in the 2008 UBS annual report. Disposition: Fine CHF100,000 15. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The cross-border business of UBS AG private diems was investigated and the firm was required to cease operating its non-W9 relationshi

lients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform clients of Lehman financial condition prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents t

nt ($200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: $380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The cross-border business of UBS AG private dients was investigated and the firm was required to cease operating its non-W9 relationsh

clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients of Lehman's financial condition prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents

nt (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The cross-border business of UBS AG private clients was investigated and the firm was required to cease operating its non-W9 relations

clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients of Lehman's financial condition prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents

nt (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The cross-border business of UBS AG private dients was investigated and the firm was required to cease operating its non-W9 relationsh

clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients of Lehman financial condition prior to Lehman's bankruptcy. It was also alleged that the firm's recommendations to a small number of New Hampshire residents t

nt (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The cross-border business of UBS AG private dients was investigated and the firm was required to cease operating its non-W9 relationsh