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• Case | HBS Case Collection | March 2011 (Revised February 2018)

  Wealth Management Crisis at UBS (A)

  Paul M. Healy, George Serafeim and David Lane

  The case describes the challenges that UBS faced as a result of the U.S. Department of Justice (DOJ) investigation for tax fraud, that claimed that UBS had helped some 52,000 U.S. residents hide billions of dollars in untaxed assets in secret Swiss accounts between 2000 and 2007, depriving the U.S. Treasury of hundreds of millions of dollars in taxes.

  Keywords: Misleading and Fraudulent Advertising; Competitive Strategy; Taxation; Risk Management; Global Strategy; Asset Management; Emerging Markets; Ethics; Problems and Challenges; Governing Rules, Regulations, and Reforms; Financial Services Industry; United States; Switzerland;

  Citation:

  Healy, Paul M., George Serafeim, and David Lane. "Wealth Management Crisis at UBS (A)." Harvard Business School Case 111-082, March 2011. (Revised February 2018.)  View Details

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• Teaching Plan | HBS Case Collection | February 2018

  Wealth Management Crisis at UBS (A) and (B)

  George Serafeim and David Freiberg

  Teaching Note for HBS Nos. 111-082 and 111-090.

  Citation:

  Serafeim, George, and David Freiberg. "Wealth Management Crisis at UBS (A) and (B)." Harvard Business School Teaching Plan 118-065, February 2018.  View Details

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• Supplement | HBS Case Collection | March 2011 (Revised February 2018)

  Wealth Management Crisis at UBS (B)

  Paul M. Healy, George Serafeim and David Lane

  The case describes the resolution of the U.S. Department of Justice (DOJ) investigation for tax fraud and the increasing pressure on the wealth management business.

  Keywords: Wealth; Taxation; Crime and Corruption; Ethics; Governance; Competitive Advantage; Business and Government Relations; Asset Management; Globalization; United States;

  Citation:

  Healy, Paul M., George Serafeim, and David Lane. "Wealth Management Crisis at UBS (B)." Harvard Business School Supplement 111-090, March 2011. (Revised February 2018.)  View Details

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