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  5. UBS SECURITIES LLC

UBS SECURITIES LLC

Company Details

Name: UBS SECURITIES LLC
Jurisdiction: New York
Legal type: FOREIGN LIMITED LIABILITY COMPANY
Status: Active
Date of registration: 01 Mar 1996 (29 years ago)
Entity Number: 2005676
ZIP code: 12207
County: New York
Place of Formation: Delaware
Address: 80 STATE STREET, ALBANY, NY, United States, 12207

Contact Details

Phone +1 203-719-3000

DOS Process Agent

Name Role Address
CORPORATION SERVICE COMPANY DOS Process Agent 80 STATE STREET, ALBANY, NY, United States, 12207

Agent

Name Role Address
CORPORATION SERVICE COMPANY Agent 80 STATE STREET, ALBANY, NY, 12207

History

Start date End date Type Value
2002-03-25 2024-03-27 Address 80 STATE STREET, ALBANY, NY, 12207, 2543, USA (Type of address: Service of Process)
2002-03-25 2024-03-27 Address 80 STATE STREET, ALBANY, NY, 12207, 2543, USA (Type of address: Registered Agent)
2000-05-01 2003-06-09 Name UBS WARBURG LLC
2000-05-01 2002-03-25 Address 111 EIGHTH AVENUE / 13TH FLR., NEW YORK, NY, 10011, USA (Type of address: Registered Agent)
2000-03-23 2002-03-25 Address 111 8TH AVE, 13TH FL, NEW YORK, NY, 10011, USA (Type of address: Service of Process)
1998-07-16 2000-05-01 Name WARBURG DILLON READ LLC
1996-03-01 1998-07-16 Name UBS SECURITIES LLC
1996-03-01 2000-03-23 Address 299 PARK AVENUE, NEW YORK, NY, 10171, USA (Type of address: Service of Process)

Filings

Filing Number Date Filed Type Effective Date
240327000793 2024-03-27 BIENNIAL STATEMENT 2024-03-27
220302000070 2022-03-02 BIENNIAL STATEMENT 2022-03-02
200316060459 2020-03-16 BIENNIAL STATEMENT 2020-03-01
180301006219 2018-03-01 BIENNIAL STATEMENT 2018-03-01
160303007306 2016-03-03 BIENNIAL STATEMENT 2016-03-01
140305006289 2014-03-05 BIENNIAL STATEMENT 2014-03-01
120314002722 2012-03-14 BIENNIAL STATEMENT 2012-03-01
100309002554 2010-03-09 BIENNIAL STATEMENT 2010-03-01
080304002332 2008-03-04 BIENNIAL STATEMENT 2008-03-01
060322002886 2006-03-22 BIENNIAL STATEMENT 2006-03-01

Court Cases

Docket Number Nature of Suit Filing Date Disposition
0800854 Other Contract Actions 2008-02-28 motion before trial
Circuit Second Circuit
Origin removed (began in the state court, removed to the district court)
Jurisdiction diversity of citizenship
Jury Demand Missing
Demanded Amount 0
Termination Class Action Missing
Procedural Progress judgement on motion
Nature Of Judgment no monetary award
Judgement defendant
Arbitration On Termination Missing
Office 1
Filing Date 2008-02-28
Termination Date 2009-01-09
Date Issue Joined 2008-05-14
Section 1332
Sub Section NR
Status Terminated

Parties
Name LASKER
Role Plaintiff
Name UBS SECURITIES LLC
Role Defendant
1701365 Arbitration 2017-02-23 other
Circuit Second Circuit
Origin original proceeding
Jurisdiction diversity of citizenship
Jury Demand Neither plaintiff nor defendant demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress order entered
Nature Of Judgment no monetary award
Judgement plaintiff
Arbitration On Termination Missing
Office 1
Filing Date 2017-02-23
Termination Date 2017-08-07
Section 2201
Sub Section DJ
Status Terminated

Parties
Name UBS SECURITIES LLC
Role Plaintiff
Name LEITNER
Role Defendant
1400927 Other Labor Litigation 2022-09-26 missing
Circuit Second Circuit
Origin remanded for further action (removal from court of appeals)
Jurisdiction federal question
Jury Demand Plaintiff demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress Missing
Nature Of Judgment Missing
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2022-09-26
Termination Date 1900-01-01
Section 0078
Status Pending

Parties
Name MURRAY
Role Plaintiff
Name UBS SECURITIES LLC
Role Defendant
0809141 Civil Rights Employment 2008-10-24 settled
Circuit Second Circuit
Origin original proceeding
Jurisdiction federal question
Jury Demand Plaintiff demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress no court action
Nature Of Judgment Missing
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2008-10-24
Termination Date 2009-03-16
Date Issue Joined 2008-12-23
Section 2000
Sub Section E
Status Terminated

Parties
Name BABAKHAN
Role Plaintiff
Name UBS SECURITIES LLC
Role Defendant
0908872 Other Contract Actions 2009-10-20 motion before trial
Circuit Second Circuit
Origin original proceeding
Jurisdiction diversity of citizenship
Jury Demand Neither plaintiff nor defendant demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress order decided
Nature Of Judgment injunction
Judgement plaintiff
Arbitration On Termination Missing
Office 1
Filing Date 2009-10-20
Termination Date 2010-01-29
Section 1332
Sub Section OC
Status Terminated

Parties
Name UBS SECURITIES LLC
Role Plaintiff
Name VOEGELI,
Role Defendant
1404467 Other Contract Actions 2014-06-20 settled
Circuit Second Circuit
Origin original proceeding
Jurisdiction diversity of citizenship
Jury Demand Neither plaintiff nor defendant demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress pretrial conference held
Nature Of Judgment no monetary award
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2014-06-20
Termination Date 2015-05-28
Date Issue Joined 2014-07-29
Pretrial Conference Date 2014-08-12
Section 1332
Sub Section AC
Status Terminated

Parties
Name UBS SECURITIES LLC
Role Plaintiff
Name ENOVA ENERGY GROUP, LLC,
Role Defendant
2301965 Civil (Rico) 2023-03-07 missing
Circuit Second Circuit
Origin removed (began in the state court, removed to the district court)
Jurisdiction federal question
Jury Demand Defendant demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress Missing
Nature Of Judgment Missing
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2023-03-07
Termination Date 1900-01-01
Section 1441
Sub Section RI
Status Pending

Parties
Name UBS SECURITIES LLC
Role Plaintiff
Name JAMES DONDERO,
Role Defendant
1400927 Other Labor Litigation 2014-02-13 other
Circuit Second Circuit
Origin original proceeding
Jurisdiction federal question
Jury Demand Plaintiff demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress after jury trial
Nature Of Judgment monetary award only
Judgement plaintiff
Arbitration On Termination Missing
Office 1
Filing Date 2014-02-13
Termination Date 2020-12-16
Date Issue Joined 2015-03-13
Pretrial Conference Date 2015-04-07
Trial Begin Date 2017-12-05
Trial End Date 2017-12-21
Section 0078
Status Terminated

Parties
Name MURRAY
Role Plaintiff
Name UBS SECURITIES LLC
Role Defendant
0907398 Other Contract Actions 2009-08-21 settled
Circuit Second Circuit
Origin original proceeding
Jurisdiction diversity of citizenship
Jury Demand Neither plaintiff nor defendant demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress order entered
Nature Of Judgment Missing
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2009-08-21
Termination Date 2010-03-16
Section 1332
Sub Section OC
Status Terminated

Parties
Name UBS SECURITIES LLC
Role Plaintiff
Name MINGYUAN MEDICARE DEVELOPMENT
Role Defendant
1205914 Other Labor Litigation 2012-08-02 other
Circuit Second Circuit
Origin original proceeding
Jurisdiction federal question
Jury Demand Plaintiff demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress other
Nature Of Judgment no monetary award
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2012-08-02
Termination Date 2020-12-30
Date Issue Joined 2013-06-14
Section 0078
Status Terminated

Parties
Name MURRAY
Role Plaintiff
Name UBS SECURITIES LLC
Role Defendant
0903798 Other Contract Actions 2009-04-15 settled
Circuit Second Circuit
Origin original proceeding
Jurisdiction diversity of citizenship
Jury Demand Neither plaintiff nor defendant demands jury
Demanded Amount 372000
Termination Class Action Missing
Procedural Progress pretrial conference held
Nature Of Judgment Missing
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2009-04-15
Termination Date 2009-11-17
Date Issue Joined 2009-06-03
Pretrial Conference Date 2009-07-01
Section 1332
Sub Section BC
Status Terminated

Parties
Name UBS SECURITIES LLC
Role Plaintiff
Name INTERNATIONAL HOSPITAL ,
Role Defendant
9804409 Civil Rights Employment 1998-06-23 other
Circuit Second Circuit
Origin original proceeding
Jurisdiction federal question
Jury Demand Missing
Demanded Amount 0
Termination Class Action Missing
Procedural Progress no court action
Nature Of Judgment Missing
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 1998-06-23
Termination Date 1999-08-16
Date Issue Joined 1998-07-15
Section 2000

Parties
Name HOOKS
Role Plaintiff
Name UBS SECURITIES LLC
Role Defendant
0305820 Other Contract Actions 2003-08-04 settled
Circuit Second Circuit
Origin original proceeding
Jurisdiction diversity of citizenship
Jury Demand Missing
Demanded Amount 0
Termination Class Action Missing
Procedural Progress other
Nature Of Judgment Missing
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2003-08-04
Termination Date 2004-01-22
Date Issue Joined 2003-09-15
Section 1332
Status Terminated

Parties
Name DANA CORPORATION
Role Plaintiff
Name UBS SECURITIES LLC
Role Defendant
0901438 Securities, Commodities, Exchange 2009-04-07 motion before trial
Circuit Second Circuit
Origin original proceeding
Jurisdiction federal question
Jury Demand Plaintiff demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress judgement on motion
Nature Of Judgment no monetary award
Judgement defendant
Arbitration On Termination Missing
Office 1
Filing Date 2009-04-07
Termination Date 2010-03-19
Section 1331
Status Terminated

Parties
Name STEINHARDT
Role Plaintiff
Name UBS SECURITIES LLC
Role Defendant
0902046 Other Contract Actions 2009-03-06 settled
Circuit Second Circuit
Origin original proceeding
Jurisdiction diversity of citizenship
Jury Demand Neither plaintiff nor defendant demands jury
Demanded Amount 250000
Termination Class Action Missing
Procedural Progress no court action
Nature Of Judgment Missing
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2009-03-06
Termination Date 2009-07-24
Date Issue Joined 2009-05-08
Section 1332
Sub Section BC
Status Terminated

Parties
Name UBS SECURITIES LLC
Role Plaintiff
Name KRUEGER INTERNATIONAL, INC.
Role Defendant
1303654 Bankruptcy Appeals Rule 28 USC 158 2013-05-30 other
Circuit Second Circuit
Origin original proceeding
Jurisdiction federal question
Jury Demand Neither plaintiff nor defendant demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress order entered
Nature Of Judgment no monetary award
Judgement defendant
Arbitration On Termination Missing
Office 1
Filing Date 2013-05-30
Termination Date 2014-01-31
Section 0158
Status Terminated

Parties
Name LYONDELL CHEMICAL COMPA,
Role Plaintiff
Name UBS SECURITIES LLC
Role Defendant
1003020 Securities, Commodities, Exchange 2010-04-08 other
Circuit Second Circuit
Origin original proceeding
Jurisdiction federal question
Jury Demand Neither plaintiff nor defendant demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress order entered
Nature Of Judgment no monetary award
Judgement defendant
Arbitration On Termination Missing
Office 1
Filing Date 2010-04-08
Termination Date 2010-12-22
Date Issue Joined 2010-06-21
Section 1500
Sub Section 15
Status Terminated

Parties
Name WILLOW CREEK CAPITAL PA,
Role Plaintiff
Name UBS SECURITIES LLC
Role Defendant
1806369 Banks and Banking 2018-11-08 settled
Circuit Second Circuit
Origin original proceeding
Jurisdiction US government plaintiff
Jury Demand Plaintiff demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress judgement on motion
Nature Of Judgment no monetary award
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2018-11-08
Termination Date 2023-08-18
Date Issue Joined 2021-04-26
Section 1345
Status Terminated

Parties
Name UNITED STATES OF AMERICA
Role Plaintiff
Name UBS SECURITIES LLC
Role Defendant
2306426 Securities, Commodities, Exchange 2023-07-25 missing
Circuit Second Circuit
Origin original proceeding
Jurisdiction federal question
Jury Demand Plaintiff demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress Missing
Nature Of Judgment Missing
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2023-07-25
Termination Date 1900-01-01
Section 0078
Status Pending

Parties
Name PHUNWARE, INC.
Role Plaintiff
Name UBS SECURITIES LLC
Role Defendant
1408462 Other Statutory Actions 2014-10-23 other
Circuit Second Circuit
Origin transferred from another district(pursuant to 28 USC 1404)
Jurisdiction federal question
Jury Demand Neither plaintiff nor defendant demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress order entered
Nature Of Judgment no monetary award
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2014-10-23
Termination Date 2015-07-01
Section 1331
Status Terminated

Parties
Name UBS SECURITIES LLC
Role Plaintiff
Name THIRD EYE CAPITAL CORPORATION
Role Defendant

Related by officers

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Related by address

80 STATE STREET, ALBANY, NY, United States, 12207

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Date of last update: 14 Mar 2025

Sources: New York Secretary of State

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