Search for: "UBS Americas Inc."
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17 Oct 2014, 10:12 am
The Commission of Financial Institutions for the Commonwealth of Puerto Rico (“OCFI”) ordered UBS Financial Services Inc. of Puerto Rico (“UBS”), a division of UBS Wealth Management Americas, to pay $5,200,000 in fines and restitution in an October 9, 2014 enforcement action. [read post]
1 Apr 2019, 7:54 am
The Yield Enhancement Strategy (YES) that UBS Financial Services, Inc. [read post]
15 Nov 2018, 4:00 am
(C), Goldman Sachs Group Inc. [read post]
5 Mar 2020, 1:13 pm
UBS Financial Services Inc. announced seven financial advisers from its Baltimore and Hunt Valley offices have been named to Forbes’ 2020 list of America’s Best-In-State Wealth Advisers: Bart Gibson, senior vice president-wealth management; Sean Hagerty, senior vice president-wealth management; Kyle Harris, senior vice president-wealth management; Dale Horn, senior vice president- wealth management, Brian Doak, senior ... [read post]
22 Dec 2008, 5:18 pm
UBS Financial Services, Inc., UBS Securities, LLC, and Citigroup have reached finalized settlements with the Securities and Exchange Commission to pay tens of thousands of ARS investors almost $30 billion. [read post]
16 Sep 2013, 9:44 am
District Court for the Central District of California entered an order dismissing with prejudice the Federal Housing Finance Agency’s claims against UBS Securities Inc. pursuant to a settlement agreement between the parties. [read post]
29 Apr 2019, 12:55 pm
(BARC), BNP Paribas Securities Corp., Bank of America Securities, Credit Suisse Securities, FTN Financial Securities, Deutsche Bank Securities, JP Morgan Securities, Morgan Stanley (MS), Merrill Lynch, Pierce, Fenner & Smith, and UBS Securities. [read post]
7 Nov 2016, 2:48 pm
In 2014, UBS said claims tied to UBS Wealth Management Americas’ Puerto Rico closed-end municipal bond funds have risen to nearly $1 billion. [read post]
20 Jun 2012, 7:00 am
Erin Correale is a Director and Associate General Counsel at UBS Financial Services Inc., in the UBS Wealth Management Americas business division. [read post]
3 Nov 2008, 9:46 pm
Guttenberg was among 13 people, including former employees of Wall Street firms such as Bank of America Corp, Morgan Stanley and Bear Stearns Co Inc, who were criminally charged last year in an insider trading ring.... [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]
1 Apr 2008, 9:14 am
Massachusetts Secretary of the Commonwealth William Galvin is subpoenaing Merrill Lynch, Pierce, Fenner, & Smith Inc., UBS Securities, and Bank of America Investments because it wants information about the companies' involvement in selling auction-rate market securities to retail investors. [read post]
12 May 2015, 3:26 pm
Inc. 902641802 UBS Yield Optimization Securities with Contingent Protection linked to McDonald’s Corp. 902641851 UBS Yield Optimization Securities with Contingent Protection linked to Schlumberger, Ltd. 902641869 UBS Yield Optimization Securities with Contingent Protection linked to Oracle Corp. 902641877 UBS Yield Optimization Securities with Contingent Protection linked to Dell Inc. 902641885 UBS Yield Optimization Securities… [read post]
7 May 2021, 4:10 am
Federal Court Rejects TRO Against Brokerage and RIA (BrokeAndBroker.com Blog)UBS Financial Services, Inc.; UBS Financial Services Incorporated of Puerto Rico; UBS Trust Company of Puerto Rico, Petitioners/Appellees, v. [read post]
12 May 2015, 3:30 pm
Inc. 90271J739 UBS Trigger Phoenix Autocallable Optimization Securities linked to Genworth Financial, Inc. 90271J721 UBS Trigger Phoenix Autocallable Optimization Securities linked to BlackRock, Inc. 90271J689 UBS Trigger Phoenix Autocallable Optimization Securities linked to Baidu, Inc. 90271J671 UBS Trigger Phoenix Autocallable Optimization Securities linked to Bank of America 90271J663 UBS Trigger Phoenix… [read post]
29 Apr 2014, 8:08 am
The court allowed claims alleging aiding and abetting by parent companies UBS and UBS Americas Inc. to proceed based on allegations that the defendants shared high-level personnel. [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]
11 May 2012, 6:27 pm
Inc. v. [read post]
9 May 2023, 2:21 pm
(CRD# 79) and Banc Of America Investment Services, Inc. [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,… [read post]
