Search for: "UBS Financial Services Inc "
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1 Aug 2017, 8:13 am
UBS Financial Services Inc. [read post]
8 Feb 2022, 11:42 am
According to his FINRA broker profile, German Nino (also known as German Nio) was affiliated with the following firms, during his career in the securities industry, among others: 07/02/2012 – 08/12/2020, UBS FINANCIAL SERVICES INC. [read post]
3 Feb 2009, 2:48 pm
Pretty soon we are going to need a scorecard - Wachovia Securities LLC and UBS Financial Services Inc. of New Yorkhave engaged in preliminary talks about a joint venture for theirretail-brokerage units, according to a report in today's New York Post. [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]
5 May 2012, 7:29 am
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]
5 May 2012, 7:29 am
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]
10 Jan 2020, 11:27 am
UBS Financial Services, Inc., FINRA Arbitration No. 17-02799. [read post]
4 Jun 2009, 4:34 pm
According to New Hampshire securities regulators, UBS Financial Services Inc., a unit of UBS AG, misled investors regarding complex securities that were issued by Lehman Brothers before the latter filed for bankruptcy protection in 2008. [read post]
17 Mar 2021, 10:33 am
On March 5, 2021, a FINRA Dispute Resolution Services arbitration panel in Denver, Colorado, ordered UBS Financial Services, Inc. [read post]
28 Jul 2009, 2:03 pm
FINRA announced today that it fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $150,000 and UBS Financial Services, Inc. $100,000 for supervisory failures that led to unsuitable short-term sales of closed-end funds (CEF) purchased at the funds' initial public offerings.... [read post]
1 May 2012, 2:34 pm
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 Sep 2010, 9:21 am
An arbitration panel has ruled that UBS Financial Services must pay kids' cell phone maker Kajeet Inc. nearly $81 million in damages. [read post]
7 Jun 2023, 4:44 am
Finra arbitrators on Thursday ordered UBS Financial Services Inc. to pay $468,126 to customers who invested in a complex options strategy, following a ruling in last month by a separate panel of arbitrators that dismissed a similar case. [read post]
25 May 2011, 12:20 pm
The SEC has charged UBS Financial Services Inc. [read post]
1 May 2017, 2:22 pm
Descarga el documento: UBS Financial Services, Inc. et al v. [read post]
17 Oct 2014, 10:12 am
Lax & Neville LLP is investigating claims on behalf of investors regarding possible sales practice abuses in connection with UBS Financial Services Inc. [read post]
8 Jun 2023, 8:18 am
It’s win some, lose some for UBS Financial Services Inc. when it comes to arbitration cases involving an options trading strategy. [read post]
9 Jun 2023, 4:46 am
Earlier this month, a unanimous three-person Finra arbitration panel ordered UBS Financial Services Inc. to pay a retired Florida couple $5.2 million [...] [read post]
12 Apr 2011, 2:28 pm
The Financial Industry Regulatory Authority is fining UBS Financial Services, Inc. $2.5 million and ordering it to pay $8.25 million in restitution for allegedly misleading investors about the "principal protection" feature of 100% Principal-Protection Notes. [read post]
25 Oct 2018, 8:23 am
A Financial Industry Regulatory Authority panel is ordering UBS Financial Services Inc. [read post]
