Search for: "UBS Financial Services"
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26 Jul 2021, 3:00 am
Continue Reading › The post UBS Financial Services Settles SEC Charges Over Exchange-Traded Products Compliance Lapses for $8M appeared first on Investor Lawyers Blog. [read post]
19 Sep 2011, 2:33 pm
The Financial Industry Regulatory Authority (FINRA) recently fined UBS Financial Services, Inc. $2.5 million, and required the firm to pay $8.25 million in restitution to customers. [read post]
3 Mar 2008, 5:10 am
The Carlyle Group, the private equity firm, said Monday that it had hired Oliver Sarkozy, one of UBS’s top investment bankers for financial services deals, to work as co-head of a similar practice. [read post]
29 Jan 2015, 6:00 am
Trust beneficiaries have brought suit against UBS Financial Services alleging that the company mismanaged trust funds, which was a breach of fiduciary duty. [read post]
6 Feb 2015, 9:07 am
Reuters reported on February 6, 2015 that UBS in Puerto Rico held a meeting during which executives of the firm, including Miguel Ferrer, then the Chairman of UBS Financial Services Inc. of Puerto Rico, threatened financial advisors to sell UBS originated Puerto Rico closed-end bond funds despite the brokers’ and their customers’ growing concerns about “low liquidity, excessive leverage, oversupply and instability. [read post]
3 Mar 2019, 1:02 pm
UBS’ so-called Yield Enhancement Strategy or YES was pitched by some financial advisors to investors as a safe investment tool to enhance the yield in their portfolios. [read post]
16 Jun 2022, 2:18 pm
Secret Service for financial misconduct. [read post]
23 Aug 2022, 7:00 am
Investors Allege Unsuitability and Misrepresentations Our UBS Yield Enhancement Strategy (UBS YES) investment loss attorneys are speaking with customers of UBS Financial Services broker William Word Huthnance in Houston, Texas. [read post]
7 Oct 2019, 12:48 pm
The post UBS Financial Services Censured & Fined $2,000,000 appeared first on The White Law Group. [read post]
5 Mar 2018, 1:35 pm
Silver Law Group is investigating claims against UBS Financial Services (“UBS”) New York-based stockbroker James Dillon (“Dillon”). [read post]
15 Jan 2020, 1:53 pm
Waitkavicz was named a financial adviser with UBS and The Weber Group. waitkavicz comes from an area of expertise working as a wealth Planning Associate for UBS Financial Services providing wealth management planning and support in the Mid-Atlantic region for the past two years. [read post]
28 Feb 2019, 8:18 am
Jonathan Murray, Brian Doak, Dale Horn, Kyle Harris and Bart Gibson, advisers in the Baltimore and Hunt Valley branches of UBS Financial Services Inc., were named to the Forbes 2019 Best-In-State Wealth Advisors list. [read post]
18 Jan 2022, 8:16 am
UBS Financial Services is Also a Defendant in New Class Action Lawsuit If you are a UBS Financial Services customer who invested in the firm’s Yield Enhancement Strategy (UBS YES) at the recommendation of New York financial advisor, William Montgomery Cerf, you are not alone. [read post]
8 Feb 2022, 11:42 am
To learn more about the firm’s investigations, please see: If you are concerned about investments with German Nino and UBS Financial Services, the securities attorneys at The White Law Group may be able to help you. [read post]
25 May 2011, 12:59 pm
UBS Financial Services Inc. has agreed to pay $160 million to settle claims regarding their anticompetitive actions in the municipal bond market. [read post]
7 Jan 2022, 12:55 pm
Claimants Are Seeking Over $4M in Damages Over UBS YES Strategy If you suffered investment losses while working with UBS Financial Services broker and investment advisor Roderick K. [read post]
11 Apr 2011, 11:37 am
FINRA announced that it fined UBS Financial Services, Inc., $2.5 million, and required UBS to pay $8.25 million in restitution for omissions and statements made that effectively misled investors regarding the "principal protection" feature of 100% Principal-Protection Notes (PPNs) Lehman... [read post]
28 Oct 2020, 6:45 am
Florida Financial Advisor is Named in at Least 10 FINRA Cases, Including One $25 Million Claim If you suffered losses while working with UBS Financial Services (UBS) stockbroker, Jose Manuel Cornide, Jr., you may be able to file a Financial Industry Regulatory Authority (FINRA) arbitration claim for your losses. [read post]
3 Feb 2009, 4:00 am
Swiss bank UBS held talks with Morgan Stanley late last year over the sale of its U.S. brokerage unit, UBS Financial Services, news reports said, citing unnamed sources. [read post]
18 Aug 2016, 2:54 pm
Just this month, UBS Financial Services, Inc. submitted a Letter of Acceptance, Waiver and Consent No. 2013038351701 (AWC) that detailed a $250,000 fine for failures in supervision regarding sales of mutual fund shares to investors. [read post]
