January 28, 2014
A former UBS AG mortgage analyst who claims he was fired after refusing to modify his research to be more favorable to the bank must bring his claims in arbitration, a New York federal judge ruled Monday, putting his lawsuit on hold.
May 22, 2013
A New York federal court ruling Tuesday that keeps alive a UBS AG whistleblower's retaliation suit marks a key victory for the U.S. Securities and Exchange Commission as it looks to make reporting Wall Street fraud less intimidating, attorneys say.
May 22, 2013
The Dodd-Frank Act protects whistleblowers from retaliation even if they report wrongdoing internally rather than to the U.S. Securities and Exchange Commission, a New York federal court ruled Tuesday, rejecting UBS AG's bid to dismiss claims by a former mortgage-backed securities strategist.