Search for: "UBS Financial Services Inc "
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21 Mar 2018, 7:53 am
UBS and its affiliated firm, UBS Financial Services Inc. of Puerto Rico, have already paid millions of dollars due to client losses in Puerto Rico proprietary closed-end bond funds filled with Puerto Rico municipal securities issued by various authorities and agencies. [read post]
11 Feb 2011, 7:52 am
Under the terms of the settlement, UBS Securities LLC and UBS Financial Services, Inc. have agreed to offer the repurchase of $1.5 billion in ARS sold to retail investors in New Jersey. [read post]
20 Dec 2018, 10:33 am
Financial Industry Regulatory Authority (FINRA) also imposed fines over the same purported anti-money laundering (AML) deficiencies—a $4.5M fine for UBS Financial Services and a $500K fine for UBS Securities, LLC. [read post]
24 Jan 2012, 3:10 am
UBS Financial Services, Inc. filed a lawsuit this week in U.S. federal court against Anthony Ostlund Baer & Louwagie, P.A. claiming that, contrary to applicable ethical standards of professional conduct, AOBL, having represented USBFS is now suing USBFS in a “substantially … Continue reading ? [read post]
1 May 2012, 2:22 pm
FINRA announced that it sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision... [read post]
9 May 2023, 4:33 am
DuBree Investment Adviser UBS Financial Services Inc. [read post]
17 Jan 2019, 7:02 am
Alex Gerardo Herrera (CRD #3204779) is a former registered broker and investment representative whose last employer was UBS Financial Services Inc. [read post]
19 Dec 2013, 7:04 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2011, Claimant UBS Financial Services Inc. alleged a breach of promissory note by Respondent Atlas and sought $497,844.23 in compensatory dam... [read post]
28 Dec 2010, 1:07 pm
An arbitration panel awarded an investor more than $2.2 million for losses resulting from the purchase of structured notes issued by Lehman Brothers, which were purchased from UBS Financial Services, Inc. [read post]
5 Sep 2018, 1:23 pm
His previous employers include UBS Financial Services Inc. [read post]
8 May 2018, 8:55 am
Carlos Antonio Rodriquez UBS Financial Services Inc Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
13 Nov 2009, 4:19 pm
Stifel has been working to turn its business into a full-service investment bank and its subsidiary, Stifel, Nicolaus, & Co., recently completed its buy of 56 UBS Financial Services Inc. branches, which it purchased for at least $46 million. [read post]
30 Oct 2013, 5:58 am
The White Law Group continues to investigate potential claims against UBS Financial Services, Inc. of Puerto Rico. [read post]
12 Oct 2011, 3:00 am
UBS Financial Services, Inc., et al. v. [read post]
12 Jul 2018, 6:06 am
The securities attorneys at Gana Weinstein LLP are investigating claims against UBS Financial Services Inc. [read post]
16 Feb 2016, 12:06 pm
Doucet and Margie Doucet (collectively “Claimants”) $307,000 for losses stemming from investments in direct participation programs (“DPPs”) involving non-traded real estate investment trusts (“REITs”), promissory note programs, master limited partnerships (“MLPs”) and private oil drilling programs offered by VSR Financial Services, Inc. [read post]
19 Aug 2014, 1:00 pm
Edwards & Sons Inc., which is now part of Wells Fargo & Co., in 2003, and then joined UBS in 2007. [read post]
23 Sep 2011, 9:55 am
See UBS Financial Services Inc. [...] [read post]
22 Apr 2014, 10:30 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Edward Dulin, a broker currently working at Bank of America Corp’s Merrill Lynch unit, alleged his ex-employer UBS AG misled its advisors about the financial health of Lehman Brothers Holdings Inc. [read post]
1 May 2014, 6:40 am
Promissory Notes (often called up-front forgivable loans) are commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley Smith Barney, Banc of America Investment Services, Wells Fargo, Merrill Lynch, Ameriprise , and UBS Financial Services. [read post]
