Search for: "UBS Financial Services Inc "
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21 Jun 2019, 12:21 pm
Flemming’s BrokerCheck record shows that she worked 30 years in the industry, including as a previously registered broker with Variable Asset Strategies, Portfolio Brokerage Services, Rocky Mountain Securities and Investments, Blinder, Robinson, & Co., Finnet Securities Inc., and also BC Financial Corporation and Venture Trading, both of which were previously expelled by FINRA. [read post]
2 May 2012, 6:42 am
The SEC had alleged that UBS Financial Services Inc. of Puerto Rico, starting in 2008, solicited thousands of retail investors, saying a competitive and liquid secondary market contributed to their closed-end mutual funds’ performance. [read post]
13 Mar 2015, 7:05 am
However, the audio recordings show that these brokers’ concerns were unacceptable to Miguel Ferrer, the chairman of UBS Financial Services Inc of Puerto Rico, who stated that the brokers should change their mindset or leave the firm. [read post]
26 Aug 2013, 1:22 pm
Shortly before its summer recess, the Court granted certiorari in UBS Financial Services Inc. v. [read post]
8 Oct 2008, 1:56 pm
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
25 Apr 2019, 11:56 am
According to FINRA Disciplinary actions for April 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Boj, Pedro UBS Financial Services Inc BBVA Securities of PR Brooks, Carter Wells Fargo Clearing Services LLC Edward Jones Lofaro, Patrick Rockwell Global Capital LLC… [read post]
24 Jul 2008, 12:09 pm
Cuomo said his office has filed a lawsuit against UBS Securities LLC and UBS Financial Services Inc. for falsely selling and marketing auction-rate securities as safe and liquid investments. [read post]
30 Jul 2008, 9:05 pm
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
15 Feb 2011, 4:17 pm
In May 2008, Barker was told that the financial firm was letting her go due to a general reduction in UBS’ workforce. [read post]
3 Aug 2016, 2:30 pm
Margiotta was employed by UBS Financial Services Inc. from October 2008 to June 2015, and with Citigroup Global Markets Inc. from December 2003 to November 2008, as well as other prior firms. [read post]
9 Nov 2023, 6:29 am
His previous employers include UBS Financial Services Inc. [read post]
21 May 2020, 8:48 am
One Customer Alleges UBS Financial Services Broker William Shreve Misrepresented the Suitability of an Invest-in-and-Hold Options Overlay Strategy William Shreve’s Financial Industry Regulatory Authority, Inc. [read post]
21 May 2020, 8:48 am
One Customer Alleges UBS Financial Services Broker William Shreve Misrepresented the Suitability of an Invest-in-and-Hold Options Overlay Strategy William Shreve’s Financial Industry Regulatory Authority, Inc. [read post]
21 Aug 2018, 5:20 am
According to FINRA Disciplinary actions for July 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Anthony Carpenter UBS Financial Services Inc A.G. [read post]
12 May 2015, 3:26 pm
Notably, the issuers of RCNs are generally large financial institutions, such as UBS, while the investor is typically an unsophisticated individual who is attracted by the high coupon rate and doesn’t understand the level of risk that comes with these highly complex structured investments. [read post]
21 May 2019, 1:46 pm
Fagenson was employed at the Palm Beach, Florida location of UBS Financial Services. [read post]
31 Mar 2017, 10:44 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]
9 May 2016, 2:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. et al., Defendants (Opinion and Order on Interlocutory Appeal, United States District Court for the District of New Jersey, 12-4466, May 23, 2013), a group of Escala Group, Inc. shareholders filed a lawsuit in the Superior Court of New Jersey alleging that Defendants Merrill Lynch, Pierce, Fenner & Smith, Inc; Knight Capital Americas, L.P.; UBS Securities, L.L.C.; E*TRADE Capital Markets, L.L.C.;… [read post]
17 Mar 2022, 2:08 pm
The Superior Court of Alameda County (UBS Financial Services, Inc.). [read post]
25 Jul 2008, 7:18 pm
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
