Search for: "UBS Financial Services, Inc. of Puerto Rico" Results 61 - 68 of 68
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Relist Watch
25 Jun 2013, 8:05 pm by John Elwood
Bay Mills Indian Community, 12-515, the Indian Gaming Regulatory Act case relisted for the first time last week, in which the Solicitor General had recommended a denial; UBS Financial Services Inc. of Puerto Rico v. [read post]
SCOTUSblog - http://www.scotusblog.com/
Stockbroker Fraud News Roundup: UBS Puerto Rico Settles SEC Action for $26M, Morgan Keegan’s Bid to Get $40K Award Over Marketing of RMK Advantage Income Fund Vacated is Denied, and SEC Settles with Attorney Involved in $1B Viaticals Scam
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]
Stock Broker Fraud Blog - http://www.stockbrokerfraudblog.com/
SEC Settles Charges Against UBS (Puerto Rico) for Misleading Investors
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]
Securities Attorney Law Blog - http://securitiesattorneylaw.com/
SEC Settles Charges Against UBS (Puerto Rico) for Misleading Investors
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]
Securities Attorneys Law Blog - http://securitiesattorneys.us/
UBS AG Fined Over Mutual Fund Sales
2 May 2012, 6:42 am by D. Daxton White
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]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
SEC & UBS Puerto Rico Settle Fraud Charges Involving Proprietary Closed-End Funds
1 May 2012, 2:34 pm by Securites Lawprof
UBS Puerto Rico... [read post]
Securities Law Prof Blog - http://lawprofessors.typepad.com/securities/
Federal and State Authorities Announce Settlements For $148 Million With Wachovia Bank For Rigged Municipal Bond Transactions Over an 8-Year Period
8 Dec 2011, 1:45 pm by William McGrath
Morgan Securities LLC (a $228 million settlement in July 2011), UBS Financial Services Inc. [read post]
Federal Securities Law Blog - http://www.fedseclaw.com/
Eccleston Law Actively Seeking Investors Suffering Losses in Puerto Rico Conservation Trust Fund Secured Notes 5.90% Due 2034
6 Apr 2011, 9:58 am by JEccleston@ecclestonlaw.com (James J. Eccleston)
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]
FinancialCounsel - http://financialcounsel.typepad.com/financialcounsel/