Search for: "UBS Financial Services, Inc. of Puerto Rico" Results 1 - 20 of 68
Sorted by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
9 Dec 2020, 8:15 am by Iorio Altamirano
Continue reading The post Ricardo Eboli, with UBS Financial Services Inc. of Puerto Rico, facing ten pending customer disputes over Puerto Rico investments appeared first on Securities Arbitration Lawyer Blog. [read post]
11 Dec 2020, 12:06 pm by Iorio Altamirano
Continue reading The post Angel Canabal, with UBS Financial Services Inc. of Puerto Rico, facing seventeen pending customer disputes over Puerto Rico investments appeared first on Securities Arbitration Lawyer Blog. [read post]
11 Dec 2020, 8:11 am by Iorio Altamirano
Continue reading The post Jose David Mendez, with UBS Financial Services Inc. of Puerto Rico, facing fifteen pending customer disputes over Puerto Rico investments appeared first on Securities Arbitration Lawyer Blog. [read post]
11 Dec 2020, 12:49 pm by Iorio Altamirano
Continue reading The post Dario Suarez, with UBS Financial Services Inc. of Puerto Rico, facing twenty-three pending customer disputes over Puerto Rico investments appeared first on Securities Arbitration Lawyer Blog. [read post]
11 Dec 2020, 12:41 pm by Iorio Altamirano
Continue reading The post Robert Lapetina, formerly with UBS Financial Services Inc. of Puerto Rico, facing seventeen pending customer disputes over Puerto Rico investments appeared first on Securities Arbitration Lawyer Blog. [read post]
11 Dec 2020, 12:27 pm by Iorio Altamirano
Continue reading The post Miguel Pascual, formerly with UBS Financial Services Inc. of Puerto Rico, facing five pending customer disputes over Puerto Rico investments appeared first on Securities Arbitration Lawyer Blog. [read post]
A Financial Industry Regulatory Authority (“FINRA”) arbitration panel has awarded two investors $793,000 in their Puerto Rico municipal bond fraud case against UBS Financial Services (UBS) and UBS Financial Services of Puerto Rico (UBS-PR). [read post]
9 Dec 2020, 9:13 am by Iorio Altamirano
Continue reading The post Jose Crescioni, with UBS Financial Services Inc. of Puerto Rico, facing five pending customer disputes over Puerto Rico investments appeared first on Securities Arbitration Lawyer Blog. [read post]
9 Dec 2020, 8:39 am by Iorio Altamirano
Continue reading The post Ramon Almonte, with UBS Financial Services Inc. of Puerto Rico, facing 34 pending customer disputes over Puerto Rico investments appeared first on Securities Arbitration Lawyer Blog. [read post]
9 Dec 2020, 9:36 am by Iorio Altamirano
Continue reading The post Vicente Castillo, with UBS Financial Services Inc. of Puerto Rico, facing ten pending customer disputes over Puerto Rico investments appeared first on Securities Arbitration Lawyer Blog. [read post]
9 Dec 2020, 8:54 am by Iorio Altamirano
Continue reading The post Xavier Aguayo, with UBS Financial Services Inc. of Puerto Rico, facing five pending customer disputes over Puerto Rico investments appeared first on Securities Arbitration Lawyer Blog. [read post]
5 May 2012, 7:29 am by Jay Eng
The SEC charged UBS Financial Services Inc. of Puerto Rico with making misrepresentations and omissions of material facts to numerous retail customers in Puerto Rico regarding the secondary market liquidity and pricing of UBS PR-affiliated, non-exchange-traded closed-end funds. [read post]
5 May 2012, 7:29 am by Jay Eng
The SEC charged UBS Financial Services Inc. of Puerto Rico with making misrepresentations and omissions of material facts to numerous retail customers in Puerto Rico regarding the secondary market liquidity and pricing of UBS PR-affiliated, non-exchange-traded closed-end funds. [read post]
6 Feb 2015, 9:07 am by Adam Nicolazzo
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… [read post]
25 Oct 2018, 8:23 am by ccollins
A Financial Industry Regulatory Authority panel is ordering UBS Financial Services Inc. [read post]
16 Apr 2015, 11:14 am by Lax & Neville LLP
In another chapter of the continuing legal troubles facing UBS, AG and UBS Financial Services of Puerto Rico, Inc. [read post]
9 Oct 2013, 1:32 pm by Mark Astarita
 The UBS Puerto Rico family of funds consists of 14 such closed-end funds, sold exclusively through brokers with UBS Financial Services Inc. of Puerto Rico. [read post]
17 Oct 2014, 10:12 am by Lax & Neville LLP
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]