Search for: "UBS Financial Services, Inc. of Puerto Rico"
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11 May 2012, 6:27 pm
UBS Financial Services Inc. of Puerto Rico (UBS) has agreed to pay $26.6 million to settle the Securities and Exchange Commission administrative action accusing the financial firm of misleading investors about its control and liquidity over the secondary market for nearly two dozen proprietary closed-end mutual funds. [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]
18 Feb 2014, 12:58 pm
Puerto Rico’s financial situation is already impacting current debt holders. [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]
3 Oct 2013, 7:10 am
” According to the Caribbean News, the statement of claim names: “UBS Financial Services Inc.; UBS Bank USA; UBS financial consultants and investment executives José M. [read post]
27 Feb 2018, 1:37 pm
/UBS Financial Services, Inc. of Puerto Rico from 2000 through 2006. [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]
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]
2 May 2012, 6:42 am
The SEC had alleged that UBS Financial Services Inc. of Puerto Rico, starting in 2008, solicited thousands of retail investors, saying a competitive and liquid secondary market contributed to their closed-end mutual funds’ performance. [read post]
24 Oct 2017, 12:30 pm
UBS Financial Services, Inc., et al I. [read post]
13 Dec 2013, 5:40 am
Some of the funds with the most exposure include: Oppenheimer Rochester Funds, UBS Puerto Rico AAA Portfolio Bond Fund, UBS Puerto Rico AAA Portfolio Bond Fund II, UBS Puerto Rico AAA Portfolio Target Maturity Fund, UBS Puerto Rico GNMA & US Government Target Maturity Fund, UBS Puerto Rico Fixed Income Fund, UBS Puerto Rico… [read post]
29 Jun 2019, 11:48 am
Sumaya De Los Angeles Musa has been registered with UBS Financial Services Inc. in Aventura, Florida since August 10, 2007, and has also been registered with UBS Financial Services Incorporated of Puerto Rico in San Juan, Puerto Rico since August 10, 2007, FINRA reports. [read post]
6 Apr 2011, 9:58 am
The underwriters are believed to have been involved in underwriting the Puerto Rico Conservation Trust Fund Secured Notes 5.90% are: UBS Financial Services, Inc. of Puerto Rico; R-G Investments, Corp.; Santander Securities Corp.; and Popular Securities. [read post]
4 Nov 2014, 7:10 am
Morgan Securities, Lebenthal & Co., National Securities Corporation, Oppenheimer & Co., Riedl First Securities Co. of Kansas, Stifel Nicolaus & Co., TD Ameritrade, UBS Financial Services, and Wedbush Securities.For more information, see the SEC press release and order -SEC Sanctions 13 Firms for Improper Sales of Puerto Rico Junk Bonds - or call our office if you have been an investor in Puerto Rico municipal bonds. [read post]
26 Aug 2013, 1:22 pm
Shortly before its summer recess, the Court granted certiorari in UBS Financial Services Inc. v. [read post]
13 Nov 2014, 12:01 pm
Morgan Securities, Lebenthal & Co., National Securities Corporation, Oppenheimer & Co., Riedl First Securities Co. of Kansas, Stifel Nicolaus & Co., TD Ameritrade, UBS Financial Services, and Wedbush Securities. [read post]
5 Nov 2014, 2:56 pm
– $60,000 TD Ameritrade – $100,800 UBS Financial Services – $56,400 Wedbush Securities Inc. [read post]
19 May 2017, 5:00 am
UBS Financial Services Inc. of Puerto Rico, Inc. [read post]
8 Nov 2013, 6:02 am
He is currently employed with UBS Financial Services Inc. [read post]
21 Feb 2017, 7:08 am
UBS Financial Services Inc. [read post]
