Search for: "UBS Financial Services, Inc. of Puerto Rico"
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21 Jul 2017, 8:52 am
His previous employment includes: UBS Financial Services (October 2007 – February 2013), Morgan Stanley Inc. [read post]
13 Jul 2017, 6:52 am
UBS Financial Services Incorporated of Puerto Rico operates as a subsidiary of UBS Financial Services Inc. [read post]
28 Jun 2017, 10:48 am
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]
19 May 2017, 5:00 am
UBS Financial Services Inc. of Puerto Rico, Inc. [read post]
1 May 2017, 2:22 pm
Descarga el documento: UBS Financial Services, Inc. et al v. [read post]
3 Apr 2017, 6:41 am
Recovery of Puerto Rico Closed-end Bond funds losses Now UBS Financial Services Inc. [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]
21 Feb 2017, 7:08 am
UBS Financial Services Inc. [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]
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]
20 Jan 2016, 5:21 am
Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. [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]
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]
16 Apr 2015, 11:14 am
In another chapter of the continuing legal troubles facing UBS, AG and UBS Financial Services of Puerto Rico, 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]
27 Mar 2015, 7:07 am
FINRA’s findings with regard to Oriental echo the allegations made by hundreds of investors against firms such as Oriental, Popular Securities, and UBS Financial Services, Inc. [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]
11 Feb 2015, 3:22 pm
New evidence suggests that UBS Financial Services Inc. [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… [read post]
15 Jan 2015, 7:24 am
FINRA’s findings echo the allegations made by hundreds of investors against Popular Securities and UBS Financial Services, Inc. [read post]
