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UBS FINANCIAL SERVICES INC.

Company Details

Name: UBS FINANCIAL SERVICES INC.
Jurisdiction: New York
Legal type: FOREIGN DESIGNATION OF THE SECRETARY OF STATE
Status: Recorded
Date of registration: 22 Sep 2004 (21 years ago)
Date of dissolution: 22 Sep 2004
Entity Number: 3104747
County: Blank

Court Cases

Docket Number Nature of Suit Filing Date Disposition
0901943 Securities, Commodities, Exchange 2009-03-03 other
Circuit Second Circuit
Origin multi district litigation (cases transferred to this district by an order entered by Judicial Panel on Multi District Litigation pursuant to 28 USC 1407)
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 Missing
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2009-03-03
Termination Date 2010-09-08
Section 1145
Status Terminated

Parties
Name MONFRINI
Role Plaintiff
Name UBS FINANCIAL SERVICES INC.
Role Defendant
0904742 Other Contract Actions 2009-05-20 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 order entered
Nature Of Judgment Missing
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2009-05-20
Termination Date 2009-08-04
Date Issue Joined 2009-06-30
Section 1332
Sub Section BC
Status Terminated

Parties
Name K BANK
Role Plaintiff
Name UBS FINANCIAL SERVICES INC.
Role Defendant
1502182 Other Contract Actions 2015-03-23 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 2015-03-23
Termination Date 2015-05-19
Section 2201
Status Terminated

Parties
Name UBS FINANCIAL SERVICES INC.
Role Plaintiff
Name NASSAU COUNTY INTERIM FINANCE
Role Defendant
0801497 Copyright 2008-02-13 other
Circuit Second Circuit
Origin original proceeding
Jurisdiction federal question
Jury Demand Both plaintiff and defendant demand jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress other
Nature Of Judgment monetary award and other
Judgement plaintiff
Arbitration On Termination Missing
Office 1
Filing Date 2008-02-13
Termination Date 2011-08-03
Date Issue Joined 2009-07-29
Section 0101
Status Terminated

Parties
Name ENERGY INTELLIGENCE GRO,
Role Plaintiff
Name UBS FINANCIAL SERVICES INC.
Role Defendant
1705921 Other Personal Property Damage 2017-10-10 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 other
Nature Of Judgment no monetary award
Judgement missing
Arbitration On Termination Missing
Office 2
Filing Date 2017-10-10
Termination Date 2018-04-11
Date Issue Joined 2017-12-28
Section 1332
Sub Section IA
Status Terminated

Parties
Name UBS FINANCIAL SERVICES INC.
Role Plaintiff
Name MANTOVI,
Role Defendant
1508380 Other Civil Rights 2015-10-23 settled
Circuit Second Circuit
Origin original proceeding
Jurisdiction federal question
Jury Demand 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 7
Filing Date 2015-10-23
Termination Date 2016-07-13
Date Issue Joined 2015-12-23
Pretrial Conference Date 2016-04-29
Section 2000
Sub Section E
Status Terminated

Parties
Name HOULE
Role Plaintiff
Name UBS FINANCIAL SERVICES INC.
Role Defendant
1607515 Other Statutory Actions 2016-09-26 settled
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 pretrial conference held
Nature Of Judgment no monetary award
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2016-09-26
Termination Date 2018-03-22
Pretrial Conference Date 2016-12-07
Section 1331
Sub Section OT
Status Terminated

Parties
Name UBS FINANCIAL SERVICES INC.
Role Plaintiff
Name REVENUE FUNDING SERVICE,
Role Defendant
0504922 Civil Rights Employment 2005-05-23 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 2005-05-23
Termination Date 2006-11-14
Date Issue Joined 2005-11-14
Section 2000
Sub Section E
Status Terminated

Parties
Name KHAN
Role Plaintiff
Name UBS FINANCIAL SERVICES INC.
Role Defendant
0706492 Other Contract Actions 2007-07-18 settled
Circuit Second Circuit
Origin original proceeding
Jurisdiction federal question
Jury Demand Missing
Demanded Amount 500000
Termination Class Action Missing
Procedural Progress no court action
Nature Of Judgment Missing
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2007-07-18
Termination Date 2008-05-21
Section 1331
Sub Section BC
Status Terminated

Parties
Name MURO
Role Plaintiff
Name UBS FINANCIAL SERVICES INC.
Role Defendant
1204764 Other Real Property Actions 2012-06-19 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 no court action
Nature Of Judgment no monetary award
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2012-06-19
Termination Date 2012-07-10
Section 1332
Sub Section CT
Status Terminated

Parties
Name ALDUNATE
Role Plaintiff
Name UBS FINANCIAL SERVICES INC.
Role Defendant
1202032 Other Contract Actions 2012-04-25 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 judgement on motion
Nature Of Judgment no monetary award
Judgement defendant
Arbitration On Termination Missing
Office 1
Filing Date 2012-04-25
Termination Date 2013-08-01
Date Issue Joined 2012-08-10
Section 1332
Sub Section NR
Status Terminated

Parties
Name ROYAL DISPATCH SERVICES, INC.
Role Plaintiff
Name UBS FINANCIAL SERVICES INC.
Role Defendant
0810505 Other Contract Actions 2008-12-03 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 no court action
Nature Of Judgment no monetary award
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2008-12-03
Termination Date 2011-11-17
Section 1332
Sub Section OC
Status Terminated

Parties
Name UBS FINANCIAL SERVICES INC.
Role Plaintiff
Name MATHEIU,
Role Defendant
2406354 Other Contract Actions 2024-08-22 missing
Circuit Second Circuit
Origin original proceeding
Jurisdiction diversity of citizenship
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 2024-08-22
Termination Date 1900-01-01
Section 1332
Sub Section OC
Status Pending

Parties
Name GOLDSMITH
Role Plaintiff
Name UBS FINANCIAL SERVICES INC.
Role Defendant
0600510 Other Statutory Actions 2006-01-23 settled
Circuit Second Circuit
Origin original proceeding
Jurisdiction federal question
Jury Demand Missing
Demanded Amount 0
Termination Class Action denied
Procedural Progress no court action
Nature Of Judgment Missing
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2006-01-23
Termination Date 2006-11-01
Date Issue Joined 2006-04-03
Section 1332
Sub Section CT
Status Terminated

Parties
Name DIFRANCESCO,
Role Plaintiff
Name UBS FINANCIAL SERVICES INC.
Role Defendant
1804542 Arbitration 2018-05-22 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 no court action
Nature Of Judgment no monetary award
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2018-05-22
Termination Date 2018-06-07
Section 2201
Sub Section DJ
Status Terminated

Parties
Name UBS FINANCIAL SERVICES INC.
Role Plaintiff
Name PLAYER TO BE NAMED LATE,
Role Defendant
2406692 Other Contract Actions 2024-09-03 missing
Circuit Second Circuit
Origin original proceeding
Jurisdiction diversity of citizenship
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 2024-09-03
Termination Date 1900-01-01
Section 1332
Status Pending

Parties
Name DAVITT
Role Plaintiff
Name UBS FINANCIAL SERVICES INC.
Role Defendant
0510678 Other Contract Actions 2005-12-21 other
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 2005-12-21
Termination Date 2006-02-21
Section 0201
Status Terminated

Parties
Name BENISTAR PROPERTY EXCHANGE TRU
Role Plaintiff
Name UBS FINANCIAL SERVICES INC.
Role Defendant
0508842 Civil Rights Employment 2005-10-18 transfer to another district
Circuit Second Circuit
Origin original proceeding
Jurisdiction federal question
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 2005-10-18
Termination Date 2006-03-21
Date Issue Joined 2005-12-30
Section 2000
Sub Section E
Status Terminated

Parties
Name COOK
Role Plaintiff
Name UBS FINANCIAL SERVICES INC.
Role Defendant
1201221 Other Statutory Actions 2012-02-16 voluntarily
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 no court action
Nature Of Judgment no monetary award
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2012-02-16
Termination Date 2012-07-13
Section 0009
Status Terminated

Parties
Name UBS FINANCIAL SERVICES INC.
Role Plaintiff
Name COSTA-LEROY
Role Defendant
2008643 Other Contract Actions 2020-10-16 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 2020-10-16
Termination Date 2021-01-28
Section 1332
Sub Section BC
Status Terminated

Parties
Name DELKESKAMP
Role Plaintiff
Name UBS FINANCIAL SERVICES INC.
Role Defendant

Related by officers

No related officers

Related by address

No related companies by address

Date of last update: 29 Mar 2025

Sources: New York Secretary of State

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