Search for: "UBS Financial Services, Inc. of Puerto Rico"
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13 Jul 2017, 6:52 am
UBS Financial Services Incorporated of Puerto Rico operates as a subsidiary of UBS Financial Services Inc. [read post]
15 Apr 2015, 12:55 pm
Malecki Law announces the filing of a $10 million FINRA arbitration claim against UBS Financial Services, Inc. and UBS Financial Services Incorporated of Puerto Rico (collectively “UBS”) on behalf of former UBS Puerto Rico registered representatives, Jorge Bravo and Teresa Bravo (the “Bravos”). [read post]
15 Oct 2013, 2:29 pm
This article was originally posted on Stock Market LossThe UBS Puerto Rico family of funds consists of 14 closed-end funds, sold exclusively through registered representatives and brokers with UBS Financial Services Inc. of Puerto Rico. [read post]
23 Aug 2019, 12:50 pm
Another FINRA Award involving UBS Puerto Rico Bonds According to award posted this week, a group of investors who bought Puerto Rico bonds and closed-end funds reportedly won a $4.4 million arbitration claim against UBS Financial Services Inc. in Puerto Rico. [read post]
6 Dec 2016, 9:32 am
UBS Financial Services Inc. lost again in another arbitration claim regarding Puerto Rico closed-end municipal bond funds, this time for $18.6 million. [read post]
9 Aug 2014, 6:41 am
The law offices of Gana LLP has recently filed securities arbitration case on behalf of an investor against UBS Financial Services, Inc. and UBS Financial Services, Inc. of Puerto Rico (UBS) involving allegations that UBS’ misleading sales tactics and inappropriate recommendations surrounding Puerto Rico bonds in the Claimant’s portfolio. [read post]
3 Sep 2015, 7:00 am
A FINRA arbitration panel in San Juan found UBS Financial Services, Inc., and UBS Financial Services Inc. of Puerto Rico liable to Juan Burgos Rosado. [read post]
17 Oct 2014, 7:07 am
According to InvestmentNews, UBS Financial Services Inc. of Puerto Rico has agreed to pay $1.7 million to investors to settle allegations that some investors were placed into unsuitable closed-end bond funds. [read post]
3 Sep 2015, 8:35 am
A FINRA arbitration panel ordered UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services Inc. [read post]
11 Feb 2015, 3:22 pm
New evidence suggests that UBS Financial Services Inc. [read post]
6 Mar 2018, 5:23 am
According to the Financial Industry Regulatory Authority Inc., an all-public arbitration FINRA panel has awarded five clients of UBS Financial Services more than $521,000 in compensatory damages in a case related to the clients’ investments in Puerto Rican bonds and closed-end bond funds (CEFs). [read post]
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]
1 May 2017, 2:22 pm
Descarga el documento: UBS Financial Services, Inc. et al v. [read post]
20 Oct 2013, 4:33 pm
In 2012, the SEC charged UBS Financial Services Inc. of Puerto Rico and two executives with making misleading statements to investors, concealing a liquidity crisis, and masking its control of the secondary market for 23 proprietary closed-end mutual funds. [read post]
7 Nov 2016, 2:48 pm
According to FINRA, UBS Financial Services Inc. has been ordered to pay an arbitration award of close to $1 million to an investor who sued the firm over losses stemming from investments in UBS Puerto Rico closed-end bond funds. [read post]
25 Oct 2013, 3:45 pm
According to the SEC, UBS Financial Services of Puerto Rico Inc. [read post]
3 Apr 2017, 6:41 am
Recovery of Puerto Rico Closed-end Bond funds losses Now UBS Financial Services Inc. [read post]
30 Oct 2013, 5:58 am
The UBS Puerto Rico family of funds consists of 14 closed-end funds sold exclusively through financial advisors and brokers with UBS Financial Services Inc. of Puerto Rico. [read post]
13 Feb 2014, 7:57 am
In various lawsuits, UBS Financial Services is accused of failing to disclose the true nature of the risk to investors. [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]
