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Case Status:    ONGOING    
On or around 12/10/2019 (Date of last review)

Filing Date: October 28, 2019

The Complaint, filed Pro Se by the Plaintiffs, alleges that the Defendant bank, acting as agent of Plaintiffs, deliberately orchestrated and conducted a fraudulent scheme regarding Plaintiffs' Orders for transactions in equity securities publicly traded on national securities exchanges booked at the Booking Center Bahamas of UBS-CM by unlawfully not sending or routing to and not representing or executing the said orders on these securities exchanges.


Sector: Financial
Industry: Investment Services
Headquarters: Switzerland


Ticker Symbol: UBS
Company Market: New York SE
Market Status: Public (Listed)

About the Company & Securities Data

"Company" information provides the industry and sector classification and headquarters state for the primary company-defendant in the litigation. In general, "Securities" information provides the ticker symbol, market, and market status for the underlying securities at issue in the litigation.

In most cases, the primary company-defendant actually issued the securities that are the subject of the litigation, and the securities information and company information relate to the same entity. In a small subset of cases, however, the primary company-defendant is not the issuer (for example, cases against third party brokers/dealers), and the securities information and company information do not relate to the same entity.
COURT: S.D. New York
DOCKET #: 19-CV-09993
JUDGE: Hon. Katherine Polk Failla
DATE FILED: 10/28/2019
CLASS PERIOD END: 10/28/2019
No Document Title Filing Date
—Reference Complaint Complaint Related Data is not available
—Related District Court Filings Data is not available