Search for: "UBS Financial Services, Inc. of Puerto Rico"
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4 Dec 2014, 9:02 pm
En la segunda demanda se establece que “el 9 de octubre de 2014, la Oficina del Comisionado de Instituciones Financieras (OCIF), circuló a los medios y al público en general, un Comunicado de Prensa, tanto español como en inglés, anunciando que OCIF había llegado a un acuerdo mediante el cual UBS Financial Services (UBS), se comprometía a pagar $3,500,000 y ofrecía restituir $1,681,742 a ciertos clientes,… [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]
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]
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]
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]
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]
1 May 2014, 6:40 am
Promissory Notes (often called up-front forgivable loans) are commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley Smith Barney, Banc of America Investment Services, Wells Fargo, Merrill Lynch, Ameriprise , and UBS Financial Services. [read post]
18 Feb 2014, 12:58 pm
Puerto Rico’s financial situation is already impacting current debt holders. [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]
29 Jan 2014, 8:17 am
Holly Gardens Citizens in Action, Inc.; UBS Financial Services Inc. v. [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]
8 Nov 2013, 6:02 am
He is currently employed with 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]
25 Oct 2013, 3:45 pm
According to the SEC, UBS Financial Services of Puerto Rico Inc. [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]
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]
9 Oct 2013, 1:32 pm
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]
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]
26 Aug 2013, 1:22 pm
Shortly before its summer recess, the Court granted certiorari in UBS Financial Services Inc. v. [read post]
