UBS Group AG is a Swiss multinational investment bank and financial services company.

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.

On May 28, 2020, Plaintiffs filed an amended Complaint. Plaintiffs filed a second amended Complaint on August 17. The class action claims were dropped in the second amended Complaint.