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UBS AG

Company Details

Name: UBS AG
Jurisdiction: New York
Legal type: FOREIGN DESIGNATION OF THE SECRETARY OF STATE
Status: Recorded
Date of registration: 12 Jan 1999 (26 years ago)
Date of dissolution: 12 Jan 1999
Entity Number: 2334267
County: Blank
Place of Formation: Switzerland

Court Cases

Docket Number Nature of Suit Filing Date Disposition
0802967 Securities, Commodities, Exchange 2009-05-08 motion before trial
Circuit Second Circuit
Origin reinstated/reopened (previously opened and closed, reopened for additional action)
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 2009-05-08
Termination Date 2010-06-10
Date Issue Joined 2009-08-28
Section 0078
Status Terminated

Parties
Name CHANDLER,
Role Plaintiff
Name UBS AG
Role Defendant
0805251 Securities, Commodities, Exchange 2010-06-14 other
Circuit Second Circuit
Origin second reopen
Jurisdiction federal question
Jury Demand Plaintiff demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress order entered
Nature Of Judgment costs only
Judgement defendant
Arbitration On Termination Missing
Office 1
Filing Date 2010-06-14
Termination Date 2010-06-14
Section 0078
Status Terminated

Parties
Name STREIT,
Role Plaintiff
Name UBS AG
Role Defendant
1403252 Other Contract Actions 2014-05-05 voluntarily
Circuit Second Circuit
Origin original proceeding
Jurisdiction diversity of citizenship
Jury Demand Plaintiff demands jury
Demanded Amount 5000000
Termination Class Action Missing
Procedural Progress no court action
Nature Of Judgment no monetary award
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2014-05-05
Termination Date 2014-05-30
Section 1332
Sub Section OC
Status Terminated

Parties
Name FERNANDEZ,
Role Plaintiff
Name UBS AG
Role Defendant
1409761 Other Fraud 2014-12-10 voluntarily
Circuit Second Circuit
Origin original proceeding
Jurisdiction diversity of citizenship
Jury Demand Plaintiff demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress no court action
Nature Of Judgment no monetary award
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2014-12-10
Termination Date 2015-01-12
Section 1331
Status Terminated

Parties
Name SPV OPTIMAL SUS LTD.
Role Plaintiff
Name UBS AG
Role Defendant
1408252 Other Contract Actions 2014-10-15 motion before trial
Circuit Second Circuit
Origin original proceeding
Jurisdiction diversity of citizenship
Jury Demand Plaintiff demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress other
Nature Of Judgment no monetary award
Judgement defendant
Arbitration On Termination Missing
Office 1
Filing Date 2014-10-15
Termination Date 2015-09-30
Date Issue Joined 2015-02-20
Section 1332
Sub Section OC
Status Terminated

Parties
Name GIORDANO
Role Plaintiff
Name UBS AG
Role Defendant
0903261 Other Contract Actions 2009-04-06 voluntarily
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 other
Nature Of Judgment Missing
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2009-04-06
Termination Date 2010-12-28
Date Issue Joined 2010-04-09
Section 2813
Sub Section 28
Status Terminated

Parties
Name AGUINAGA,
Role Plaintiff
Name UBS AG
Role Defendant
0800496 Securities, Commodities, Exchange 2008-05-08 settled
Circuit Second Circuit
Origin original proceeding
Jurisdiction federal question
Jury Demand Plaintiff demands jury
Demanded Amount > 10000$
Termination Class Action Missing
Procedural Progress pretrial conference held
Nature Of Judgment Missing
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2008-05-08
Termination Date 2008-12-22
Date Issue Joined 2008-10-01
Pretrial Conference Date 2008-10-02
Section 0078
Status Terminated

Parties
Name PLUG POWER INC.
Role Plaintiff
Name UBS AG
Role Defendant
1500619 Other Fraud 2015-01-28 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 2015-01-28
Termination Date 2016-05-27
Date Issue Joined 2015-09-04
Section 1334
Status Terminated

Parties
Name SPV OSUS LTD.
Role Plaintiff
Name UBS AG
Role Defendant
0803082 Securities, Commodities, Exchange 2008-03-26 other
Circuit Second Circuit
Origin original proceeding
Jurisdiction federal question
Jury Demand Missing
Demanded Amount 0
Termination Class Action Missing
Procedural Progress pretrial conference held
Nature Of Judgment Missing
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2008-03-26
Termination Date 2009-03-30
Section 0078
Status Terminated

Parties
Name SANCHEZ
Role Plaintiff
Name UBS AG
Role Defendant
1704503 Other Contract Actions 2017-06-12 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 2017-06-12
Termination Date 2018-08-24
Date Issue Joined 2018-01-31
Section 1331
Sub Section OT
Status Terminated

Parties
Name ZIMMERMAN
Role Plaintiff
Name UBS AG
Role Defendant
0400659 Other Statutory Actions 2004-06-09 remanded to state court
Circuit Second Circuit
Origin removed (began in the state court, removed to the district court)
Jurisdiction US government defendant
Jury Demand Missing
Demanded Amount 304
Termination Class Action Missing
Procedural Progress other
Nature Of Judgment Missing
Judgement missing
Arbitration On Termination Missing
Office 6
Filing Date 2004-06-09
Termination Date 2004-08-24
Date Issue Joined 2004-07-29
Section 1446
Sub Section NR
Status Terminated

Parties
Name UBS AG
Role Plaintiff
Name OLSEN
Role Defendant
0804352 Securities, Commodities, Exchange 2009-03-30 motion before trial
Circuit Second Circuit
Origin reinstated/reopened (previously opened and closed, reopened for additional action)
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 2009-03-30
Termination Date 2010-06-10
Date Issue Joined 2009-08-28
Section 0077
Status Terminated

Parties
Name BONNIST
Role Plaintiff
Name UBS AG
Role Defendant
0900059 Securities, Commodities, Exchange 2009-01-16 other
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 2009-01-16
Termination Date 2009-04-28
Section 0078
Status Terminated

Parties
Name GORDON
Role Plaintiff
Name UBS AG
Role Defendant
0005130 Other Contract Actions 2000-07-12 voluntarily
Circuit Second Circuit
Origin removed (began in the state court, removed to the district court)
Jurisdiction federal question
Jury Demand Missing
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 2000-07-12
Termination Date 2000-12-12
Section 1441
Status Terminated

Parties
Name PAINEWEBBER INC.
Role Defendant
Name UBS AG
Role Plaintiff
9902152 Other Contract Actions 1999-03-23 settled
Circuit Second Circuit
Origin original proceeding
Jurisdiction diversity of citizenship
Jury Demand Missing
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 1999-03-23
Termination Date 1999-10-29
Section 1332

Parties
Name UBS AG
Role Plaintiff
Name GEMONICS COMPANY,
Role Defendant
1101409 Other Contract Actions 2011-03-01 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 missing
Arbitration On Termination Missing
Office 1
Filing Date 2011-03-01
Termination Date 2011-04-11
Section 1331
Status Terminated

Parties
Name UBS AG
Role Plaintiff
Name CHERNICK,
Role Defendant
0800969 Securities, Commodities, Exchange 2008-01-29 other
Circuit Second Circuit
Origin original proceeding
Jurisdiction federal question
Jury Demand Missing
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 2008-01-29
Termination Date 2008-03-06
Section 0078
Status Terminated

Parties
Name GARBER
Role Plaintiff
Name UBS AG
Role Defendant
0204223 Civil Rights Employment 2002-06-05 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 2002-06-05
Termination Date 2002-10-15
Date Issue Joined 2002-07-15
Section 1001
Status Terminated

Parties
Name BOVINO
Role Plaintiff
Name UBS AG
Role Defendant
1600687 Employee Retirement Income Security Act (ERISA) 2016-02-09 other
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 judgement on motion
Nature Of Judgment no monetary award
Judgement defendant
Arbitration On Termination Missing
Office 1
Filing Date 2016-02-09
Termination Date 2019-03-15
Section 1441
Sub Section NR
Status Terminated

Parties
Name FRIEDLAND
Role Plaintiff
Name UBS AG
Role Defendant
0803692 Other Contract Actions 2008-04-17 voluntarily
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 2008-04-17
Termination Date 2008-06-10
Section 1332
Sub Section OC
Status Terminated

Parties
Name LASALLE BANK NATIONAL ASSOCIAT
Role Plaintiff
Name UBS AG
Role Defendant

Related by officers

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Related by address

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Date of last update: 31 Mar 2025

Sources: New York Secretary of State

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