SEC
Whistleblower
Advocates

October 13, 2015

UBS AG

Offering Fraud

SANCTION AMOUNT: $19,500,000

Defendants: UBS AG

Settlement of charges against Respondent that it made false or misleading statements and omissions in offering materials provided to U.S. investors in structured notes linked to a proprietary, index-based foreign exchange trading strategy. Respondent allegedly falsely stated that the strategy relied on a “transparent” and “systematic” approach of using “market prices” to calculate the financial instruments underlying the index, when undisclosed hedging trades by UBS reduced the index price by about five percent.

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