Issue 19

UNDER CONSTRUCTION BITS AND PIECES ARE PARKED HERE

THE WORLD WILL NOW BE EXPOSED TO EXAMPLES OF UBS  CORROBORATED CRIMINAL ACTIVITY WITHIN THE USA THROUGH  CAUSAL CHAINS OF EVIDENTIARY DOCUMENTS.   THERE IS NO ROOM FOR MISTAKE OR  INADVERTENCE.

THESE KNOWN BLATANT EVENTS  OCCURRED DURING THE PRESIDENCIES OF CLINTON/BUSH II/OBAMA.  LET IT BE SEEN  UBS AND IT’S KNOWN COLLABORATORS WERE SIGNIFICANT PERPETRATORS CAUSING  THE WORLD 2008 FINANCIAL COLLAPSE.

Within the USA during the Clinton/Bush II/Obama Presidencies UBS was given a “get-out-of-jail-free card” in consideration for deferred payments laundered through post presidency exorbitant consulting/speaking fees et al.  USA  Presidential Library+ secret Swiss foreign accounts are allowed in collaboration with USA Congress.  One member of Congress bluntly  said that if these Swiss accounts were not secret there would be little money given for the new Presidential library pyramids.  We comment the Congressman for his forthrightness.

UBS salespeople  initially  seek out the vulnerable through nearby honeypot luncheons, local sports tournaments or art events.  This clusters wealthy so UBS salespersons can ask explicit question solicitations for potential recruitment.  The primary victims have been USA elderly swindled through the continuing solicit, recruit, isolate, control, dupe and loot scheme.  This was allegedly done under the comical rubric of  the UBS “perfection experience”.  During the honeypot events UBS local staff  direct the solicited to a nearby offshore office like Bahamas,  if more personal in depth conversations are needed.  Is it any wonder why UBS recently built a new isolated full security office building in the Florida nearby Bahamas.

New UBS Bahamian Nassau office located in a secured area free from USA and other foreign law enforcement.

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This UBS AG (Swiss) criminal system went well in the USA until UBS senior official Bradley Birkenfeld exposed it to international media.  It could not be further hidden by the Clinton/Bush II/Obama political operatives.   Obama/Holder  continued to allow UBS rot at the top senior officials no jail time for their continuing criminal activity within the USA.  Remarkably, UBS General Counsel (head lawyer)  David Aufhauser was not allowed  to be criminally prosecuted by the Obama/Holder USA Justice Department for his blatant insider trading with his internal UBS Wall Street collaborators.  The corroborating documents will be easily used by  ethical attorneys and USA Government officials to aid UBS  victims both criminally and civilly for few have seen the evidence other than UBS perpetrators  and their collaborators.

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UBS UTAH INDUSTRIAL BANK & PENNEY STOCK CARTELS 

Throughout the World Utah is known as the indisputable and  foremost leader in both USA nationally unregulated Industrial Bank and Penney Stock Cartels.  We will only address the USA Federally unregulated Utah Industrial Bank Cartel and it’s members now defunct Lehman and presently active UBS AG (Switzerland)  solely owned UBS Bank USA headquartered in Salt Lake City.  Suffice it to say,  Lehman and UBS Utah Industrial Banks were substantial  perpetrators in the 2008 World stock market crash.  This has been purposely hidden from the World so  UBS AG could initially receive  USA and Swiss Governments bailouts, for something.

United States Supreme Court says cartels are:  “the supreme evil of antitrust.”(1) Prosecuting cartel offenses continues to be the highest priority of the United States Department of Justice’s Antitrust Division.(2)   The Antitrust Division has sole authority for federal criminal antitrust enforcement in the United States.”

https://www.justice.gov/atr/speech/cartel-enforcement-united-states-and-beyond

The USA Federally unregulated Utah Industrial Bank cartel has been allowed to continue to exist within the USA after  USA antitrust laws were enacted, for some reason.  This has caused undue harm to USA as a whole through it’s member banking competitive advantages in the commission of criminal acts against client victims,  as herein mentioned.  Again, Utah Industrial Bank cartel members UBS and Lehman were instrumental  in initiating the 2008 World Financial crash.  There are known and unknown reasons why Utah Industrial Bank and Penney Stock cartels continue to exist  past USA Supreme Court Antitrust rulings.  It is known both have created  a windfall in profits for Utah Federal and  State Court systems, Utah lawyer/lobbyists as well as other Utah Judicially related peripheral businesses.

Salt Lake City, Utah

One only has to look at the foyer index names to see the inordinate number of Salt Lake City, Utah buildings stuffed with Utah law firms serving Utah Industrial Bank cartel members.  The parapets in the middle of this panorama are of the world renown Mormon Temple.  Across the street from the Temple is the exclusive Alta Club.

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UBS AG  USA CRIMINALITY EXPOSED

UBS AG (Zurich, Switzerland) is the sole owner of the Utah Industrial Bank and its aliases UBS Bank USA, UBS Bank,  Bank UBS et al.   The UBS  AG [Switzerland] solely owned UBS Bank USA  from it’s creation September 15, 2003 to present has continually committed known frauds upon USA Federal &  State Governments, USA citizens and the World.   Below  is a chronology of known UBS AG continuing USA Federal criminal violations occurring while on and off USA Federal criminal parole (Exhibit X & PPPPP).   Among other things but not necessarily all, USA AG  knowingly continues to misrepresent  it’s UBS Bank USA as USA Federally regulated  within World court submissions as well as international advertisements  herein noted.

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September 15, 2003 UBS AG (Zurich, Switzerland) Group Executive Board UBS AG  wrote  truthfully and correctly for it’s September 15, 2003 UBS Bank USA Utah Industrial Bank  membership application.

“Holden [owned] By: UBS AG [Switzerland] Charter Class:  [USA] Commercial bank, state charter and Federal nonmember, supervised by the FDIC”

Again, UBS  AG wholly  owns the UBS Utah Industrial Bank and it’s aliases UBS Bank, UBS Bank USA et al as “Commercial bank, state charter and Fed nonmember” (Exhibit UUUU)  joined the USA Federally unregulated Utah Industrial Bank cartel. The headquarters :

UBS Bank USA
299 South Main Street, Suite 2275
Salt Lake City, Utah 84111

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UBS BANK USA APPLICATION POINT OF INTEREST

Please note UBS AG (Switzerland)  properly refers to it’s wholly owned Utah UBS Bank USA in 2003 as: “commercial bank, state charter and Federal nonmember, supervised by the FDIC (federal deposit insurance  company).

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Utah Department of Financial Institutions in 2014 writes the truth in explaining that: “All industrial banks (IBs) [herein Utah Industrial Banks] are chartered by the state [herein Utah]. Nationally or federally chartered IBs do not exist.”

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UBS AG (Switzerland) misrepresents the truth [lies] to both the Utah State Department of Finance and the USA Federal Government by writing on the January 30, 2017 UBS Bank USA mandatory information that: “Federal Regulator FDIC” regulates UBS Bank USA.

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UBS AG WRITES FRAUDULENT  INFORMATION FOR IT’S UBS BANK USA FALSE 2017 STATEMENTS  TO UTAH DEPARTMENT OF FINANCE, USA FEDERAL RESERVE, USA GOVERNMENT AND THE WORLD

Please note UBS Bank USA in 2017 fraudulently  refers to itself as being  USA Federally regulated by “Federal Regulator FDIC.  Again,  FDIC is an insurance company and not a USA Federal agency.  There is nothing as sacrocanct as the integrity of World financial institutions for client credibility.  UBS AG deliberately with malice fraudulent holds  it’s solely owned Utah UBS Bank USA  out to the World as a USA Federally regulated bank.  These continuing repetitive falsities cannot be construed as mistakes or inadvertences.  Federal Deposit Insurance Company is not either part of the USA Federal Reserve or any USA Government Agency.  FDIC is an insurance company.  This statement should be construed as yet another criminal violation perpetrated by UBS AG (Switzerland) upon USA Federal Government, USA citizens  and the World.  These continuing repetitive falsities cannot be construed as mistakes or inadvertences.  Again, when will UBS loose it’s USA Charter?

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These Utah Industrial Bank  cubicles  typify the  headquarters office operation look since almost all communications is via phone with lawyers, out of state client victims or the designated Salt Lake City, Utah  State & Federal Courts.

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UTAH INDUSTRIAL BANKS RESEMBLE USA CREDIT COLLECTION AGENCIES  

One is initially alarmed that Utah Industrial Banks physically do not resemble other USA State or USA Federally regulated Banks.  There are no client friendly  areas with tellers,  customer windows or anything resembling a bank within their headquarters and usually sole office.   It looks more like rows of collection agency kiosks containing one chair, elaborate headsets with  professional speaker/ear phones  and a desk computer.   There were several attempts to take a picture at the front door  with a client but bank officers refused to allow it.  We were informed kiosk conversations are usually between foreign corporate owners, lawyers,  Salt Lake City 3rd District or USA Federal Courts and indebted clients victims.   Clients for the most part are out-of-state  being exported usually to Salt Lake City 3rd District Court.  In essence, Utah Industrial Banks are not client friendly places inside but allegedly foreign corporate collection  agencies  insinuating  demands upon far off client  victims with interstate threats, especially to the elderly.

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DID UBS “INCENTIVIZE” PRESIDENT OBAMA  WITH DEFERRED PAYMENTS TO REFUTE HIS CAMPAIGN PROMISE OF TERMINATING  THE USA FEDERALLY UNREGULATED  UTAH INDUSTRIAL BANKS ?

New York Times reports: “Utah is the nation’s unlikely capital of industrial banks … While they have brought billions of dollars in deposits, thousands of jobs and millions in charitable donations to Salt Lake City, the banks have also drawn fire from Washington. … The Obama administration argues that the banks pose a threat to the economy because their parent companies can engage in risky practices but are often exempt from routine scrutiny by the Federal Reserve. … Unlike commercial banks … they are not supervised by the Federal Reserve nor are their parent companies required to set aside capital reserves that could be used if a bank gets into trouble. In Salt Lake City, the banks have been a welcome presence. They created an estimated 15,000 jobs at the banks and related service companies, and their executives have sprinkled money around to everything from the Utah Symphony Orchestra to housing for the poor.

But critics tick off a list of complaints about the banks, including assertions that owning them gives their corporate parents an unfair advantage and encourages risky practices. In addition, he [Obama] and others point out, state regulators and the F.D.I.C. do not have the same powers as the Federal Reserve to demand changes in risky business practices by parent companies that might indirectly threaten their industrial banks. Treasury officials … have not blamed industrial banks for a role in the financial crisis, but they do argue that the regulatory loophole permitted abusive actions by some of their parent companies that fed the problems. “This is not about picking on anyone, but they contributed to risk in the system,” said a Treasury official, who spoke on condition of anonymity because he was not authorized to comment on the issue.

A few industry observers go further in their complaints.  Some companies intentionally chose an industrial bank charter — where they could raise money through brokered C.D.’s, investor funds in cash accounts and funds from business clients — so that they could take riskier bets and have higher leverage in their other business units, argued Raj Date, who leads a nonprofit industry research group, Cambridge Winter. He said that parent companies of eight of what had been the top 12 Utah industrial banks filed for bankruptcy protection or received large allotments of federal bailout funds or other federal financial support in the last year.  Those companies … consumed $70 billion, according to Mr. Date’s analysis. (Those institutions have all closed their industrial banks, in most cases a condition of accepting the money.) ‘The United States of America has lost billions of dollars based on inadequate regulation,’ said James A. Leach, a former Republican congressman from Iowa and longtime critic of industrial banks. ‘Once you set up an exception like the industrial bank charter, the smart and the big are not dumb. They will exploit it. And that is just what they did.’ ”

file:///Users/herbert1/%7D21234542/ubs/utah/utah%20stuff/utah%20ipics.webarchive

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UTAH INDUSTRIAL BANK CARTEL WASHINGTON LOBBYISTS

New York Times reports: “The lobbyists [for Utah Industrial Banks] Douglas S. Foxley, left, Frank R. Pignanelli, right, and George Sutton, middle, a former Utah regulator, say industrial banks are among the safest and do not need Federal Reserve oversight. They have gained powerful supporters in Washington.”

https://mobile.nytimes.com/2009/09/17/business/economy/17industrial.html

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PIGNATELLI SPEAKS 

Pignanelli says:  “Industrial banks are the safest and soundest institutions in the country. In terms of capital and everything else, they are safe and sound.  Lehman burned to the ground. What was the one asset left standing? Their industrial bank.”  Pignantelli blithely does not take into account that World consensus is both UBS AG’s UBS Bank USA and Lehman’s Woodlands Bank USA Federally unregulated banks were instrumental in causing the 2008 World financial crash.

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TESTIMONY OF GEORGE SUTTON, ESQ.  ON BEHALF OF THE SECURITIES INDUSTRY ASSOCIATION BEFORE THE HOUSE FINANCIAL SERVICES COMMITTEE SUBCOMMITTEE ON FINANCIAL INSTITUTIONS AND CONSUMER CREDIT  JULY 12, 2006

“Over the past 20 years, the current generation of industrial banks has developed into one of the strongest, safest and soundest group of banks that ever existed. Industrial banks have had an exemplary record of service to their customers and the (Utah) community. … Because securities firms typically engage in activities that are not permissible for bank holding companies, they cannot acquire full service commercial banks without exiting businesses that account for substantial segments of their revenues … Ownership of industrial banks has therefore become the principal means of providing banking services for these firms. … let me turn now to one of the key issues in the current debate over industrial banks – the misconception that industrial banks are not adequately regulated. … a close examination of the facts confirms that both the banks and their holding companies are adequately regulated under the industrial bank model. … industrial banks themselves are fully regulated in the same manner as other banks by the same regulators applying the same laws, standards and procedures. … In some respects, FDIC and state oversight is more effective and efficient than the Federal Reserve’s regulation of a traditional bank holding company. …  Commissioner of Utah Financial Institutions now lobbyist for Utah Industrial Banks he once regulated says: “The GAO (Government Accountability Office GAO-5-621 report’s comparison of the traditional bank holding company and industrial bank regulatory models concludes that the lack of oversight over unrelated activities is dangerous and warrants terminating the “bank centric” model. … Most industrial banks are organized to add value to an existing seasoned financial services business and begin as a large and profitable business with no marketing costs. Congress has already decided that restrictions against affiliations between banks and securities firms or insurance companies can be safely lifted, and banking-securities affiliations have operated without incident under both the bank holding company model and the industrial bank model. … Many industrial banks offer financial services that they or their affiliates invented and are more proficient in providing than anyone else. … Industrial banks pose no unusual safety and soundness risk. The industry has developed into one of the strongest and safest group of banks that ever existed. … The regulation of the industrial banks is comparable to, and in some respects stronger than, the regulation of all other banks. … there is nothing unusually risky about the market forces prompting the development of the industrial bank industry. … companies engaged in many diverse and completely legitimate activities that want access to a depository charter because it enables them to provide their financial services more efficiently and cost effectively.”

(Banking Committee // 7/12/6)

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UBS AG (SWISS) & LEHMAN ET AL SOLELY OWNED USA FEDERALLY UNREGULATED UTAH INDUSTRIAL BANKS AND THEIR INTERNATIONAL BANKING LOOPHOLE

Salt Lake City Weekly reports: “the state of Utah and the lobbying firm Foxley & Pignanelli have become the largest cheerleaders for this arm of the banking industry [Federally unregulated Utah Industrial Banks], which according to Frank Pignanelli—a lobbyist, executive director of the National Association of Industrial Bankers and former Democratic legislator … In addition to benefits derived from corporate ownership, industrial banks enjoy another perk: being exempt from the Bank Holding Company Act. By operating outside of the act, the parent companies of industrial banks aren’t regulated by the Federal Reserve. Instead, the FDIC and, largely, Utah’s Department of Financial Services, regulate them. … Darryle Rude, chief examiner with the Utah Department of Financial Institutions, says that state regulation is “less onerous” than federal oversight. … While there might be some tangible benefits to keeping the Federal Reserve off of a bank’s back, according to George Sutton, former commissioner of the Utah Department of Financial Institutions, lack of oversight by the Federal Reserve is not what fueled the growth of these banks. … National banking associations and even the Federal Reserve raised this concern, contending that the inability of federal watchdogs to regulate parent companies of industrial banks presented a “blind spot” that, if left unchecked, could rain chaos on the nation’s financial sector. … In testimony before the House Subcommittee on Financial Institutions and Consumer Credit in July 2006, Scott G. Alvarez, general counsel of the board of the Federal Reserve, said the rapid expansion of industrial banks created a potentially unfair opportunity for corporations to gain access to the federal banking safety net. … ‘If Congress does not address the ILC exception, the nation’s policies on banking and commerce and the supervisory framework for corporate owners of insured banks are in danger of being decided for Congress through the expansion of this loophole by individual firms acting in their own self-interest,’ Alvarez said. … ‘One example of this was Lehman Brothers, which up until 2011, operated a Utah industrial bank called Woodlands Commercial bank. Even as Lehman Brothers went belly up, Woodlands slowly self-liquidated, inching down from a 2008 peak of $6.8 billion in assets to $1.6 billion before closing for good in 2011.’ … One of the laws that Pignanelli says nearly found its way into the document would have placed an outright prohibition on the charter, driving a stake through industrial banking’s heart. Sutton was one of those lobbying on behalf of industrial banks. ‘We were able to head off all of the legislation that would have permanently eliminated the charter,’ he says. … Howard Headlee, president of the Utah Bankers Association, says his counterparts across the country [World] were acting out of fears surrounding an industry that they knew nothing about.”

https://m.cityweekly.net/utah/bank-on-it/Content?oid=2782335&storyPage=2

It should be considered troublesome to World finance when Lehman was bankrupted while UBS was given a questionable backroom USA/SWISS bailout. There was also a successful unilateral documented scheme by UBS to insinuate Lehman’s shoddy almost worthless shares to replace quality shares in UBS elderly USA victims accounts.  UBS salesmen used such words as vomit, shit and other  vulgar words to refer to the Lehman’s stocks they were dumping into the accounts of the unsuspecting USA elderly UBS client victims.  The above  Utah lawyer/lobbyists men are said to have a stranglehold upon Washington financial committee’s revolving door that partially caused the World 2008 financial collapse. A desperate UBS AG is said to be heading in that direction again.

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WHEN WILL PRESIDENT TRUMP DRAIN THE WASHINGTON SWAMP?

It has been amusingly said the above lobbyist  picture depicts  typical self-important  lobbyist/lawyers that President Donald Trump wants to drain from the Washington swamp.   These men lobbying for the  Utah Industrial Bank cartel are typical of “deep state”  members by wanting   status-quo  to continue in Washington.  These men look like the typical  Washington lawyer/lobbyist  prototype  for a Hollywood central casting part.    Self-importance and “deep state” mentality is generally a requirement for lawyer/lobbyists lurking in the hall corners and other recesses of Washington Congress.  This is  especially true near the  Ways & Means  and Finance Committees because that is where the money allocations are implemented.  Watching the lawyer/lobbyists at work  is not part of the  Congressional public tour, for some reason!

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12:12:12 GGGGG fed reg

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3:5:11 GGG google ubs fed reg

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UBS AG (SWITZERLAND) SOLE OWNER OF UBS BANK USA  UTAH INDUSTRIAL BANK REPEATEDLY LIES  TO THE WORLD IN GOOGLE ADVERTISING

UBS AG (Switzerland) as sole owner of Utah UBS Bank USA repeatedly,  successfully  avoids USA Federal prosecution while  purposefully continuing to misrepresent  the truth  by saying:  “UBS BANK USA is a federally regulated Utah industrial bank.

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UBS  UTAH INDUSTRIAL BANK  APPLICATIONS ACCEPTED BY FDIC

FEDERAL DEPOSIT INSURANCE  CORPORATION

UBS Utah Industrial Bank
299 South Main Street, Suite 2275
Salt Lake City, Utah
Application for Federal Deposit Insurance
(Bank Insurance Fund

8.      That UBS AG, Zurich, Switzerland, the Bank’s ultimate corporate parent, will consent and submit to the personal jurisdiction of any United States Federal court of competent jurisdiction and of any Federal Banking Authority for purposes of any investigation or possible investigation, subpoena, examination, action, or proceeding by any Federal Banking Authority, the United States Department of the Treasury, or the United States Department of Justice, relating to the administration and enforcement of any Banking Law or pursuant to any Banking Law.

The proposed new bank involves foreign ownership, with UBS AG, Zurich, Switzerland, owning 100 percent of the proposed bank’s common stock. The bank will primarily offer loan and deposit products to brokerage customers of two UBS AG subsidiaries. … a proposed new bank to be located at, Salt Lake City, Salt Lake County, Utah, and has concluded that the application should be approved.

Dated at Washington, D.C. this 9th day of September, 2003.
FEDERAL DEPOSIT INSURANCE CORPORATION
By: Lisa K. Roy 
Associate Director
Division of Supervision and Consumer Protection

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LEHMAN BROTHERS  UTAH INDUSTRIAL BANK  APPLICATIONS ACCEPTED BY FDIC

FEDERAL DEPOSIT INSURANCE  CORPORATION

Lehman Brothers Utah Industrial Bank
Salt Lake City, Utah
Application for Federal Deposit Insurance
(Bank Insurance Fund)

Pursuant to the provisions of Section 5 of the Federal Deposit Insurance Act (12 U.S.C. § 1815), an application for Federal deposit insurance has been filed for Lehman Brothers Commercial Bank (the Bank), a proposed new Utah industrial bank to be located at 4001 South 700 East, Suite 410, Salt Lake City, Salt Lake County, Utah.

The Bank’s major focus will be commercial loans and commercial real estate loans to major corporations, as well as short-term warehouse loans to borrowers secured by specific assets. In addition, the Bank anticipates acting as a derivatives intermediary, engaged in matched trading of interest rate products, primarily interest rate swaps, as well as forward purchase agreements and options contracts.  Accordingly, based upon careful evaluation of all available facts and information, the Associate Director, acting under delegated authority, has concluded that approval of the application is warranted, subject to certain prudential conditions.

Dated at Washington, D.C. this 10th day of August 2005.
FEDERAL DEPOSIT INSURANCE CORPORATION
BY: __________/s/______________
Lisa K. Roy
Associate Director
Division of Supervision and Consumer Protection

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From information and belief these “disbursement” were part of a UBS AG entrapment scenario against solicited USA elderly high net worth potential victims.  All of these documents correspond to the UBS AG schemes noted in Issue 2 // VB-41 / VB-42 // VB-43.  We believed it was curtailed by UBS AG either because of Honorable Kaspar Villiger’s intercession (Exhibit Y),  the Palm Beach County registered mortgage in favor of UBS  (Exhibit C) or both.

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UBS GENERAL COUNCIL’S USA OFFICE DOES NOT COMPLY TO UBS AG CHAIRMAN’S WISHES! 

UBS AG Chairman Kaspar Villiger and Herb Mallard had a common friend whose  sympathy for Herb was directly shared.  Even though this had been the case UBSUSA General Council David Hauphauser’s office refused to comply with Honorable UBS AG Chairman Villiger by sending a gobbldegook letter to Mallard from Kyna Ruiz.  We will see this same type of letter used again against the Chairman of Wells Fargo.  Uh yes, after drafting this letter Kyna Ruiz was terminated from UBS whereabouts unknown.

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UBS PURPOSELY MIXES  MISREPRESENTATIONS OF MATERIAL EXISTING FACTS TO EXPLAIN  FRAUD

OnWallStreet reports: “In a counterclaim, Kinnear alleged UBS tried to “drive a wedge between” him and his high-net-worth clients. He also claimed the firm made false and malicious statements including claiming Kinnear still worked for them, according to the document. … For its part, Wells Fargo said UBS sought to prevent clients from transferring accounts and changed account numbers, causing confusion and added cost. … In an emailed statement, a spokesperson for Wells Fargo declined comment on the specific case. “Wells Fargo Advisers takes its obligation to protect client information seriously,” she said.”

(Onwallstreet // 5/20/16)

UBS continually uses dirty tricks to win legal actions within USA Federal and state courts.  From  authoritative information and belief, UBS can direct  cases to sleeper judiciary in strategic USA areas for special handling.  This will be documented in Utah and Florida.

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USA FINRA TAKES NO ACTION AGAINST UBS SENIOR  PERPETRATORS AS UBS  SACRIFICED  STOCK BROKER IS NAMED IN ROUTINE UBS SCHEME

InvestmentNews reports: “The Financial Industry Regulatory Authority Inc. has barred a broker that UBS Financial Services Inc. fired earlier this summer for giving clients documents with false account information.… Mr. Esteva ‘was discharged after he admitted providing a client with documents containing false account information,’ according to the BrokerCheck report. ‘Further investigation found that [he] (i) provided at least one more client with documents containing false account information and (ii) improperly journaled money between unrelated client accounts.’ To journal money means to transfer money between accounts. Brokers must have explicit client permission to move money between customers’ accounts.”

http://www.investmentnews.com/article/20170913/FREE/170919968/finra-bars-recently-fired-ubs-miami-broker

Many examples of this UBS continuing scheme are available for scrutiny. FINRA (Financial Industry Regulatory Authority Inc.) may be shifting it’s policy of the Obama no action against UBS pay to play scheme.

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Exhibit Y Ruiz reply

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UBS General Counsel David D Aufhauser

UBS GENERAL COUNSEL & UBS GLOBAL SECURITIES HEAD AVOID USA JAIL FOR USA FEDERAL CRIMES, SOMEHOW

New York Times reports: “Mr. (David) Shulman, UBS’s global head of municipal securities, who was publicly criticized by Mr. Cuomo, paid $2.75 million to settle the charges and was suspended as a securities broker for two and a half years. Another, David D. Aufhauser, UBS’s general counsel, paid $6.5 million and was barred from practicing law in New York for two years. Mr. Shulman was suspended by UBS and Mr. Aufhauser left the bank. UBS declined to comment on the reason for his departure and named him an adviser to the bank. … Neither man admitted or denied guilt, but in both cases, the allegations made by the authorities were incriminating. According to the complaints, Mr. Shulman sold his personal holdings within days of learning the market was in distress. Mr. Aufhauser was on an Acela train to Washington when UBS’s chief risk officer e-mailed him to warn that the auction-rate securities market was collapsing. Minutes later, he e-mailed his UBS broker to sell the securities in his account. (A lawyer said Friday that Mr. Aufhauser subsequently reversed the trade and didn’t profit from the order.)  Today Mr. Shulman is listed as a “managing member” of BasePoint Capital L.L.C., a private investment firm in Greenwich, Conn. Mr. Aufhauser is a partner at the prominent Washington law firm Williams & Connolly. His biography on the firm’s Web site references his experience as “managing director and global general counsel of the UBS AG investment bank.” Both Mr. Shulman and Mr. Aufhauser declined to comment. VC-36   We see UBS “decline comment” or renditions thereof over and over in an attempt to silence transparency. We evidence through corroborating documentation that Aufhauser’s UBS General Counsel office directed the theft of Florida elderly assets, including fraudulent liens/mortgages. Corroborating documents clearly evidence Aufhauser’s office is confirmed to have been directly involved in the UBS 2008 World financial meltdown causes. We see that Aufhauser continues to work for UBS, as UBS “named him an adviser to the bank” immediately after his UBS suspension and being barred from practicing law for two years in New York state. A reliable UBS source has said Aufhauser knows enough to cause UBS to loose their USA Charter hence “advisor” hush money and bluster from Governor Cuomo’s office.

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UBS AG UTAH UBS BANK USA OBTAINS FLORIDA CHARTER BASED UPON SUNDRY OVERT LIES

UBS Bank USA filed with Florida Department of State June 10, 2010 criminally stating it was approximately 4 years old when in fact UBS AG (Swiss) sole owner registered it initially 2003 in Utah (see —- above).  Furthermore, Utah UBS Bank USA had been doing business illegally out of UBS Private Wealth Management, 440 Royal Palm Way #300 offices at least since 2008.  From information and belief Utah UBS Bank USA was also doing business illegally out of UBS Private Wealth Management offices in other USA states without being registered with those states.

file:///Users/herbert1/%7D21234542/ubs/19/10%20chronology/ubs%20courts/ubs%20courts/miami/miami%20stuff/ubs%20banks%20copy/6:10:10%20ubs%20florida%20registration%202.webarchive

 

 

UBS AG SOLELY OWNED UTAH UBS BANK USA ILLEGALLY DID FOREIGN BANKING OUT OF UBS PRIVATE WEALTH MANAGEMENT, 440 ROYAL PALM WAY #300, FLORIDA OFFICES BEFORE OBTAINING FLORIDA 2010 CHARTER

 

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FLORIDA UNREGULATED UBS HAS DONE BUSINESS IN FLORIDA FROM UBS WEALTH MANAGEMENT OFFICES ILLEGALLY BEFORE  2008

 

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