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	DOB: UBS Warburg, UBS PaineWebber, Consent Order
		UBS Warburg and UBS PaineWebber are registered with the Exchange, SEC, NASD and with all 50 states, the District of Columbia and Puerto Rico.
		When a UBS Warburg analyst informed the Head of the Research Department that he intended to drop coverage of a particular company, he was asked whether there was any "banking relationship" and was told to "check with" the banker who worked with that company.
		UBS WARBURG LLC states that no promise of any kind or nature whatsoever was made to it to induce it to enter into this Consent Order, and states that it has entered into this Consent Order voluntarily.
	www.ct.gov /dob/cwp/view.asp?a=2246&q=299016&pp=12&n=1 (5857 words)

	UBS AG - Wikipedia, the free encyclopedia
		UBS was formed through a merger of the Union Bank of Switzerland and the Swiss Bank Corporation in June 1998.
		UBS acknowledged that it had "made a deplorable mistake", but maintained that the destroyed archives were unrelated to the Holocaust.
		UBS Chairman Marcel Ospel was blamed by many for ostensibly evading the request for an extension of Swissair's line of credit, and the day after the grounding, thousands of demonstrators marching in front of the Swissair headquarters carried a banner reading "Bin Ospel".
	en.wikipedia.org /wiki/UBS_Warburg (1607 words)

	Electronic Discovery Services \| Applied Discovery®
		In this opinion, the court considered the scope of a litigant's duty to preserve electronic documents and the consequences of a failure to preserve documents that fall within the scope of that duty.
		UBS thereafter attempted to preserve all backup tapes that existed in August 2001 (when Zubulake filed the EEOC charge).
		Had these directives been followed, the court noted that UBS would have met its preservation obligations by maintaining one copy of all relevant documents that existed at, or were created after, the time when the duty to preserve attached.
	www.lexisnexis.com /applieddiscovery/lawlibrary/focus_07.asp (1292 words)

	CNN.com - UBS reshuffle as profit falls - May 14, 2002
		UBS, the world's seventh biggest bank by market capitalisation, said the changes were part of an expansion of UBS's group executive board from six to 10.
		UBS blamed the decline in profit on "slack economic growth," slowing investment banking activity and continued losses at its UBS Capital private equity unit, which invests in new and private companies.
		UBS said it was hopeful of a recovery in the global markets in the second half of 2002 but was uncertain about its strength.
	archives.cnn.com /2002/BUSINESS/05/14/ubs.earnings/index.html (446 words)

	Kroll Ontrack UK - Zubulake vs UBS Warburg
		UBS Warburg, 217 F.R.D. In a gender discrimination suit against her former employer, the plaintiff requested that the defendant produce "[a]ll documents concerning any communication by or between UBS employees concerning the plaintiff." The defendant produced 350 pages of documents, including approximately 100 pages of email.
		UBS Warburg, 220 F.R.D. In the restoration effort that occurred according to previous e-discovery decisions in the matter, the parties discovered that certain backup tapes were missing and that emails had been deleted.
		UBS Warburg, 220 F.R.D. In this latest motion, the employee contended that the employer, who recovered some of the deleted relevant emails, prejudiced her case by producing recovered emails long after the initial document requests.
	www.krollontrack.co.uk /legalresources/zubulake.aspx (1053 words)

	Print Article: Merrill report upsets UBS Warburg (Site not responding. Last check: 2007-10-25)
		UBS, which has drawn criticism from some quarters over its handling of the AMP deal, is seeking a retraction from Merrill but the bank is not budging.
		But AMP and UBS have denied UBS was eligible for the lower price, which could have netted it a $44.7 million profit from the transaction, according to the Merrill note.
		UBS says the repricing did not result in profit to it and that the comments damaged its trading reputation.
	www.smh.com.au /cgi-bin/common/popupPrintArticle.pl?path=/articles/2003/05/06/1051987706572.html (437 words)

	Law.com - UBS Warburg Sanctioned for Destroying E-Mails in Discrimination Suit
		The destruction was the result of a failure to communicate between UBS and its counsel, the New York law firm Kramer Levin Naftalis & Frankel, she said.
		She ordered UBS Warburg to pay expenses and attorney fees incurred by the plaintiff, Laura Zubulake, in pursuing missing e-mails and other data.
		In July 2003, Scheindlin, applying what she said was a new formula for cost-shifting in electronic disputes, ordered UBS to pay the bulk of the cost of restoring backup tapes that Zubulake said were relevant to her case.
	www.law.com /jsp/article.jsp?id=1090180148744 (638 words)

	A Better Chance: UBS Warburg (Site not responding. Last check: 2007-10-25)
		UBS Warburg’s grant also supports Orientation sessions in six cities to introduce incoming A Better Chance Scholars to the resources they will need to be successful at their new schools.
		UBS Warburg is a business group of UBS AG (NYSE: UBS), one of the largest financial services firms in the world with 71,000 employees in more than 40 countries.
		UBS Warburg is a leader in equities, corporate finance, MandA advisory and financing, financial structuring, fixedincome issuance and trading, foreign exchange, derivatives and risk management.
	www.abetterchance.org /AboutUs/MediaCenter/PressRelease/UBS.html (523 words)

	Warburg (Site not responding. Last check: 2007-10-25)
		UBS Warburg is the leading investment bank on its home turf, Europe; and among the top ten players in the sector globally.
		SG Warburg was established in the 1930s by Siegmund Warburg, a Hamburg banker who came to London after the Nazis came to power in Germany.
		Warburg chairman and chief executive Markus Granziol, at 47, is tipped as a possible successor to UBS chief executive Marcel Ospel.
	www.justpeople.com /ContentNew/Companies/FullReports/Warburg.asp (1926 words)

	UBS Warburg LLC Consent Order
		WHEREAS, UBS Warburg LLC (“UBS Warburg”) is a broker-dealer licensed in the State of
		UBS AG has offices in over 50 countries, employing approximately 69,500 people, 35,000 of whom work for UBS PaineWebber or UBS Warburg.
		UBS Warburg and UBS PaineWebber are registered with the Exchange, SEC, NASD and with all 50 states, the
	www.state.me.us /pfr/sec/Orders/UBS_CO.htm (502 words)

	UBS Warburg offering jobs to Enron workers, source says - Jan. 28, 2002
		UBS Warburg, which agreed to acquire the business earlier this month, has received approval for the acquisition from the judge overseeing Enron's bankruptcy, and hopes to close the deal early next month.
		UBS is paying no cash up front, but has agreed to give Enron and its creditors a third of pretax operating profits for the first two years of operations.
		UBS was selected as the successful bidder for Enron's North American electricity and natural gas trading business -- its core operations -- on Jan. 15 after Enron filed the biggest bankruptcy ever in the United States on Dec. 2.
	money.cnn.com /2002/01/28/news/enron_ubs/index.htm (317 words)

	UBS Warburg LLC: Lit. Rel. No. 18112 / April 28, 2003
		In addition, UBS Warburg will pay, over five years, $25 million to provide the firm's clients with independent research, and $5 million to be used for investor education.
		The Complaint also alleges that UBS Warburg published exaggerated or unwarranted research or research that lacked a reasonable basis, received payments from other firms to publish research on certain companies without ensuring that such payments were disclosed, and made payments to other firms for those firms to publish research on UBS Warburg's underwriting clients.
		UBS Warburg also has agreed as part of this settlement to retain, at its own expense, an Independent Monitor to conduct a review to provide reasonable assurance that the firm is complying with the structural reforms.
	www.sec.gov /litigation/litreleases/lr18112.htm (1088 words)

	Forensic Accounting in India
		UBS Warburg was accused of knowingly deceiving investors when it rated Enron’s stock as a “strong buy” during a period in which Enron was headed for certain disaster.
		Enron’s own employees were the biggest victims in the alleged scheme; through an arrangement with UBS Warburg’s sister company, Paine Webber, they were encouraged to invest their 401(k) contributions in Enron.
		UBS Warburg and Paine Webber countered that the information they were accused of hiding from investors was available to the public.
	www.indiaforensic.com /ubs.htm (325 words)

	Tech spending to grow in 2003 - UBS Warburg (Site not responding. Last check: 2007-10-25)
		The study, by Wall Street brokerage firm UBS Warburg, also found that businesses intend to spend more on tech products this year than they did in 2002, going against a recent survey by rival Goldman Sachs that showed a spending decline.
		UBS Warburg questioned 85 Chief Information Officers, who hold the technology purse strings of global corporations, during the month of December.
		In addition, UBS said 40 percent of CIOs questioned indicated their spending had already returned to normal rates while 22 percent said they expected a return to normal patterns some time this year.
	www.ciol.com /content/news/repts/103011507.asp (516 words)

	UBS Warburg Lawsuit Information - Find Trial Lawyers and Attorneys with Experience in UBS Warburg Personal Injury Law
		UBS Warburg, a Swiss-based investment firm, recently agreed to pay $80 million as part of a settlement with the Attorney General of the State of New York.
		In 2002, UBS Warburg was named in a class action lawsuit that accused the firm of inflating the value of Enron Corporation's stock even though analysts knew the company was headed for disaster.
		Warburg, a sister company to Paine Webber, Inc., also allegedly encouraged Enron employees to invest their 401(k) contributions in Enron.
	www.injuryboard.com /view.cfm/Topic=1222 (380 words)

	United States retains UBS Warburg Cup - PGATOUR.COM (Site not responding. Last check: 2007-10-25)
		The difference at the UBS Warburg Cup was the outcome: The United States won.
		Behind strong performances from Hale Irwin and Tom Lehman in terrible weather, the Americans easily retained the UBS Warburg Cup and kept Arnold Palmer undefeated as a captain in all cup competitions.
		The UBS Warburg Cup is not in the same league as the Ryder Cup, although some of the play was sure reminiscent.
	www.golfweb.com /u/ce/multi/0,1977,5900280,00.html (680 words)

	UBS - UBS Warburg
		UBS Warburg’s Corporate and Institutional Clients business unit recorded a strong performa-nce in 2001 relative to the much weaker markets this year.
		Full year results for UBS Capital reflect the very challenging market in 2001, with few opportunities for divestments, and write-downs of several investments as a result of the problems caused for some of our investee companies by the deteriorating economic conditions.
		Pre-tax profits at the Private Clients business unit (UBS PaineWebber) were CHF 258 million, a strong result relative to our peers, achieved against a particularly poor market environment, with two successive years of market declines in the US for the first time since the late 1970s.
	www.ubs.com /1/e/about/annual_review/2001/comment_on_business_group_result/ubs_warburg.html (225 words)

	Panel Asks UBS Warburg For HealthSouth Papers
		The committee plans to examine whether UBS Warburg and other investment bankers had a too-cozy relationship with HealthSouth that may have caused them to overlook the health care company's problems, according to a letter sent yesterday to UBS chairman and chief executive John Costas.
		The committee asked UBS Warburg for documents relating to the firm's two top investment bankers on the HealthSouth account, Benjamin D. Lorello, who continues at the firm, and William McGahan, who resigned last month for what the company said were personal reasons.
		UBS Warburg, owned by Swiss bank UBS AG, was one of 10 Wall Street firms to sign a $1.4 billion agreement to settle state and federal charges that they misled investors because of conflicts of interest that caused them to issue misleading stock research to win investment-banking business.
	www.yourlawyer.com /articles/read/5840 (469 words)

	Letter to Costas, John: UBS Warburg (Site not responding. Last check: 2007-10-25)
		All records provided by UBS Warburg to the SEC in response to the SEC's subpoena issued in February 2003 in connection with its investigation of HealthSouth.
		State whether UBS Warburg was aware of any material changes to Ernst and Young's auditing practices of HealthSouth and, if so, provide a summary response detailing the nature of the changes and when and by whom you were first made aware of the changes.
		Identify all projects performed by UBS Warburg for any member of HealthSouth's Board of Directors or his or her immediate family (or any entity in which any such person has a controlling financial interest or holds a position as an officer, director or principal) excluding the work identified in response to Question 4.
	energycommerce.house.gov /108/Letters/05082003_921.htm (2031 words)

	UBS Warburg, 2003 Edition: Vault Career Guides and Employer Profiles
		UBS Warburg, 2003 Edition is your complete resource to jobs, careers, interviews and recruiting.
		UBS Warburg, already a star in Europe, is banging on the door of the bulge-bracket in the States.
		UBS Warburg's pay and work hours are right in line with the industry average, say insiders.
	www.vault.com /career/UBS_Warburg__2003_Edition.html (730 words)

	UBS PaineWebber
		When UBS Warburg bought PaineWebber last year, reps were a bit unsettled, unsure of what to expect.
		The “UBS” prefix was added in March, and Joe Grano took over as chairman for Don Marron in August.
		But overall, as major brokerages go, UBS PaineWebber is not bad, according to its reps. “Our firm is for the down-to-earth individual with more of a personal touch,” concludes one producer.
	registeredrep.com /mag/finance_ubs_painewebber/index.html (287 words)

	UBS Investment Bank
		UBS is one of the premier investment houses in the Russian securities market.
		UBS has been a fixture in Russia since 1997, when we formed Brunswick UBS as an investment banking joint venture with local firm Brunswick Securities.
		This development demonstrates the long-term commitment of UBS to Russia, where we are determined to continue as the local market leader.
	www.ibb.ubs.com /russia (294 words)

	Excite -
		Also, UBS had to confront the highly-publicized suit brought against it and other Swiss Banks by relatives of Holocaust victims, agreeing to pay out two-thirds of the $1.25 billion settlement (Credit Suisse Group is paying the other third).
		Warburg Dillon Read is using its parent's deep pockets to try to become a force in U.S. investment banking.
		For UBS Warburg in the U.S., all sales and trading and operations employees are housed in Stamford, Connecticut, while corporate finance and research works in offces on Park Avenue in Midtown Manahattan.
	www1.excite.com /home/careers/company_profile/0,15623,801,00.html (1343 words)

	CNN.com - UBS profit drops 26 percent - Aug. 14, 2001
		Quarterly pretax profit at UBS Warburg, the investment banking unit, plunged to 468 million francs from 1.33 billion.
		UBS Warburg, which advises companies on mergers, acquisitions and stock market flotations, said revenue rose 17 percent to 5.7 billion francs, even as global stock markets declined.
		UBS, formed from the merger of Union Bank of Switzerland and Swiss Bank Corp. in 1998, said second-quarter pretax profit at its private banking and corporate clients unit, UBS Switzerland, slipped slightly to 1.25 billion francs from 1.29 billion a year ago.
	edition.cnn.com /2001/BUSINESS/08/14/ubs (457 words)

	UBS - UBS Homepage - You and us \| Wealth Management \| Investment Banking \| Asset Management
		UBS - UBS Homepage - You and us
		Independent, third party research on certain companies covered by the firm's research is available to customers of UBS in the United States at no cost.
		Customers can access this research at http://www.ubs.com/independentresearch or can call 1-877-208-5700 to request that a copy of this research be sent to them.
	www.ubs.com (214 words)

	UBS Warburg LLC Consent Order
		WHEREAS, UBS Warburg LLC (“UBS Warburg”) is a broker-dealer licensed in the State of
		UBS AG has offices in over 50 countries, employing approximately 69,500 people, 35,000 of whom work for UBS PaineWebber or UBS Warburg.
		UBS Warburg and UBS PaineWebber are registered with the Exchange, SEC, NASD and with all 50 states, the
	www.informe.org /pfr/securities/adminorders/UBS_CO.htm (903 words)

	UBS Warburg Hires Asset-Backed Professionals; Expands Number One Mortgage Business
		UBS Warburg also announced that in an effort to augment origination in its leading agency and non-agency CMO business, that Peter Slagowitz will join the firm from Credit Suisse First Boston.
		UBS Warburg is a leader in equities, corporate finance, M&A advisory and financing, financial structuring, fixed income issuance and trading, foreign exchange, derivatives and risk management.
		UBS Warburg is one of four business groups of UBS along with UBS PaineWebber, UBS Global Asset Management and UBS Switzerland.
	www.prnewswire.com /cgi-bin/stories.pl?ACCT=104&STORY=/www/story/04-11-2002/0001704414&EDATE= (346 words)

	Risk magazine - Risk manager of the year — Mark Ritter, UBS Warburg
		Of that, only Sfr30 million was from UBS Warburg, the firm’s investment bank (the lion’s share, Sfr60 million, was from the wealth management and business banking division — UBS’s Swiss bank for private and corporate clients).
		UBS began to charge for the close-out value-at-risk in transactions over and above the collateral level.
		UBS Warburg uses a range of credit risk transfer tools, including single name default swaps, credit-linked notes, collateralised debt obligations, basket trades and nth-to-default notes to hedge its portfolio.
	www.risk.net /public/showPage.html?page=9113 (950 words)

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