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Corporate & Securities Law
: FinancialCounselNew York Attorney General's Complaint Against UBS Securities Seeking Relief For Auction Rate Securities Purchasers Nationwide
By James Eccleston
Following on the heels of a similar complaint filed by Massachusetts securities regulators, New York Attorney General Cuomo?s complaint against UBS Securities and UBS Financial Services (?UBS? collectively) alleges that UBS deceived its customers, its own financial advisors and the issuers of auction rate securities (?ARS?). When UBS decided to stop participating in the ARS market in February, 2008, UBS had 50,000 customer accounts holding $37 billion in ARS. Let?s examine the key allegations of the complaint.
Full post as published by FinancialCounsel on August 20, 2008 (boomark / email).
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