Search for: "UBS Financial Services Inc "
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30 Jun 2022, 10:25 am
Securities and Exchange Commission (SEC) has announced a landmark settlement with UBS Financial Services Inc. related to the firm’s Yield Enhancement Strategy (YES). [read post]
11 Apr 2011, 12:41 pm
The Financial Regulatory Authority (FINRA) announced today that it has fined UBS Financial Services, Inc. $2.5 million, and ordered UBS to pay $8.25 million in restitution for omissions and statements regarding the “principal protection” feature of the 100% Principal-Protected Notes (PPNs) issued by Lehman Brothers Holdings Inc. prior to its September 2008 bankruptcy filing. [read post]
8 Aug 2008, 8:47 pm
The agreement has been reached between UBS Financial Services Inc. and the federal Securities and Exchange Commission and regulators in several states. [read post]
29 Sep 2020, 7:12 am
Rich, Intelisano & Katz, LLP (RIK) filed a $3 million FINRA arbitration this month on behalf of clients that invested in 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]
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]
29 Jun 2022, 1:40 pm
The Securities and Exchange Commission today announced that UBS Financial Services Inc. has agreed to pay approximately $25 million to settle fraud charges relating to a complex investment strategy referred to as YES, or Yield Enhancement Strategy. [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]
17 Aug 2020, 12:58 pm
If you are reading this Blog, UBS Financial Services, Inc. [read post]
17 Aug 2020, 1:11 pm
If you are reading this Blog, UBS Financial Services, Inc. [read post]
16 Dec 2022, 5:38 pm
We are investigating potential investment fraud claims for investors with losses from structured products sold by accounts at UBS Financial Services Inc. who have suffered losses from investing in any of the firm’s structured notes, called GOAL Yield products, due to recent market volatility. [read post]
11 Apr 2011, 1:00 pm
FINRA fined UBS Financial Services, Inc. $2.5 million, and required it to pay $8.25 million in restitution for omissions and misleading statements made regarding the "principal protection" feature of Lehman Brothers100% Principal-Protection Notes (PPNs). [read post]
11 Apr 2011, 1:00 pm
FINRA fined UBS Financial Services, Inc. $2.5 million, and required it to pay $8.25 million in restitution for omissions and misleading statements made regarding the "principal protection" feature of Lehman Brothers100% Principal-Protection Notes (PPNs). [read post]
11 May 2008, 7:38 pm
UBS Financial Services Inc. and UBS Securities LLC, both units of UBS AG, have agreed to pay 19 Massachusetts public agencies and local governments over $35 million for their losses in the auction-rate securities market. [read post]
11 Jul 2022, 5:20 am
UBS will pay a $17.4 million penalty and $7.2 million in disgorgement and interest (In the Matter of UBS Financial Services Inc., Release No. 34-95168, June 29, 2022).The “Yield Enhancement Strategy” (YES) is an options trading strategy designed by a team at Credit Suisse to generate income from an existing portfolio of securities. [read post]
20 Jan 2009, 3:25 am
Hutchinson Technology, Inc., a firm with a dual focus on computer hardware technology and health care technology, recently filed suit against UBS AG, UBS Financial Services and UBS Securities LLC (“UBS”) for allegedly fraudulently inducing Hutchinson to purchase millions of dollars in auction rate securities (ARS). [read post]
17 Oct 2011, 1:38 pm
UBS Financial Services Inc. has agreed to settle charges brought by the Financial Industry Regulatory Authority, or FINRA, alleging that UBS failed to supervise a stockbroker who stood on both sides of multiple municipal bond trades to and from his customersandrsquo; retail accounts. [read post]
17 Aug 2020, 1:11 pm
If you are reading this Blog, UBS Financial Services, Inc. [read post]
20 Jul 2020, 2:09 pm
The Securities and Exchange Commission today announced that UBS Financial Services Inc. has agreed to pay more than $10 million to resolve charges that it circumvented the priority given to retail investors in certain municipal bond offerings. [read post]
22 Dec 2008, 5:18 pm
UBS Financial Services, Inc., UBS Securities, LLC, and Citigroup have reached finalized settlements with the Securities and Exchange Commission to pay tens of thousands of ARS investors almost $30 billion. [read post]
