Search for: "UBS FINANCIAL SERVICES INC."
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6 Sep 2018, 7:53 am
HIGHTOWER, UBS FINANCIAL SERVICES INC. and Legacy Asset Securities, INC. [read post]
23 Oct 2019, 8:50 pm
Jason Lowy, senior vice president of wealth management in the Hunt Valley office of UBS Financial Services Inc., was named to the Financial Times’ 2019 list of 401 Top Retirement Advisers. [read post]
UBS Financial Services Inc. Secures Temporary Restraining Order Against Three Former Brokers in Ohio
2 Jun 2009, 5:52 am
A dispute between UBS Financial Services Inc. [read post]
10 Jul 2024, 8:41 am
SEC Charges UBS with Fraud Related to YES Investment Strategy July 12, 2022: UBS Financial Services Inc. [read post]
25 Apr 2018, 2:42 pm
Dale Horn, a senior vice president in wealth managemen with UBS Financial Services Inc., was named to Forbes’ list of Best-in-State Wealth Advisers. [read post]
30 Jun 2022, 7:50 am
UBS Financial Services Inc has agreed to pay $25 million to settle SEC fraud charges relating to a particular investment strategy called Yield Enhancement Strategy. [read post]
29 Jul 2024, 11:34 am
New Jersey based UBS Financial Services, Inc. has a lot to answer for according to a recent filing from the Financial Industry Regulatory Authority. [read post]
19 Apr 2016, 12:22 pm
Murray, the managing director of The Murray Group – UBS Financial Services Inc., is a top financial ... [read post]
10 Jul 2009, 12:58 pm
District Court for the Southern District of Ohio against three former employees of UBS Financial Services Inc. [read post]
9 Jan 2018, 7:13 am
Keane CRD#265697 Silver Law Group is investigating former Melville, New York-based UBS Financial Services Inc broker Michael Keane, after multiple customer allegations of unsuitable investment recommendations where received by FINRA. [read post]
29 Aug 2018, 9:18 am
Edwards for four years until she joined UBS Financial Services in November of 2007. [read post]
27 Aug 2018, 10:36 am
He was previously employed by UBS financial services inc. [read post]
18 Aug 2016, 2:54 pm
Just this month, UBS Financial Services, Inc. submitted a Letter of Acceptance, Waiver and Consent No. 2013038351701 (AWC) that detailed a $250,000 fine for failures in supervision regarding sales of mutual fund shares to investors. [read post]
19 Sep 2011, 2:33 pm
The Financial Industry Regulatory Authority (FINRA) recently fined UBS Financial Services, Inc. $2.5 million, and required the firm to pay $8.25 million in restitution to customers. [read post]
28 Jun 2017, 10:48 am
A Financial Industry Regulatory Authority (“FINRA”) arbitration panel has awarded two investors $793,000 in their Puerto Rico municipal bond fraud case against UBS Financial Services (UBS) and UBS Financial Services of Puerto Rico (UBS-PR). [read post]
16 Jun 2022, 2:18 pm
FINRA arbitration attorney Jake Zamansky and his team are investigating potential legal claims on behalf of investors who were customers of former UBS Financial Services Inc. [read post]
28 Feb 2019, 8:18 am
Jonathan Murray, Brian Doak, Dale Horn, Kyle Harris and Bart Gibson, advisers in the Baltimore and Hunt Valley branches of UBS Financial Services Inc., were named to the Forbes 2019 Best-In-State Wealth Advisors list. [read post]
6 Feb 2015, 9:07 am
Reuters reported on February 6, 2015 that UBS in Puerto Rico held a meeting during which executives of the firm, including Miguel Ferrer, then the Chairman of UBS Financial Services Inc. of Puerto Rico, threatened financial advisors to sell UBS originated Puerto Rico closed-end bond funds despite the brokers’ and their customers’ growing concerns about “low liquidity, excessive leverage, oversupply and instability. [read post]
11 Apr 2011, 11:37 am
FINRA announced that it fined UBS Financial Services, Inc., $2.5 million, and required UBS to pay $8.25 million in restitution for omissions and statements made that effectively misled investors regarding the "principal protection" feature of 100% Principal-Protection Notes (PPNs) Lehman... [read post]
11 Dec 2020, 12:41 pm
If you have lost money with Robert Lapetina or UBS Financial Services Inc. of PR, contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account. [read post]
