Search for: "UBS FINANCIAL SERVICES INC." Results 1 - 20 of 585
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2 Oct 2024, 7:46 am by Silver Law Group
AXA Advisors, LLC Sevag Haddadian Wells Fargo Clearing Services, LLC Morgan Stanley Carol Miller Wells Fargo Clearing Services, LLC Wells Fargo Advisors LLC Jason Pirnie Pallas Capital Advisors, LLC UBS Financial Services, Inc. [read post]
16 Aug 2024, 7:17 am by Silver Law Group
His previous employers include Level Four Financial, LLC (CRD#:25700) of Allen, TX, Morgan Stanley (CRD#:149777), also of Dallas, and UBS Financial Services Inc. [read post]
29 Jul 2024, 11:34 am by Stoltmann Law
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]
10 Jul 2024, 8:41 am by The White Law Group
  SEC Charges UBS with Fraud Related to YES Investment Strategy  July 12, 2022: UBS Financial Services Inc. [read post]
1 Jul 2024, 12:22 pm by Silver Law Group
His previous employers include USCA RIA LLC (CRD# 152170) and UBS Financial Services Inc. [read post]
12 Jun 2024, 1:41 pm by admin
KOHN & COMPANY (CRD#:27913), CINCINNATI, OH, B, 11/11/2005 – 10/19/2023, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), BLOOMFIELD HILLS, MIB, 10/29/1999 – 12/02/2005, UBS FINANCIAL SERVICES INC. [read post]
2 May 2024, 12:35 pm by The White Law Group
  He was affiliated with firms like RBC Capital Markets, UBS Financial Services Inc., and Citigroup Global Markets Inc. [read post]
19 Apr 2024, 2:04 pm by Silver Law Group
According to FINRA Disciplinary actions for April 2024, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Vinessa Christian UBS Financial Services Inc. [read post]
6 Feb 2024, 6:13 am by Staff Attorney
  From June 2015 through February 2017 Bindra was registered with UBS Financial Services Inc. [read post]
25 Jan 2024, 8:35 am by The White Law Group
(CRD#:7059), SOUTHLAKE, TX B, 04/05/2002 – 11/17/2008, UBS FINANCIAL SERVICES INC. [read post]
20 Nov 2023, 9:01 pm by renholding
UBS Europe SE (f/k/a UBS (Luxembourg) S.A.), the BLMIS trustee brought fraudulent- transfer claims, seeking to avoid and recover direct and subsequent transfers of alleged customer property against (a) two related offshore feeder funds (Funds) that were the initial transferees from BLMIS and (b) a number of European banks, brokers, and related persons that were the subsequent transferees (Subsequent Transferees)and had acted as advisers and service providers to the… [read post]
8 Nov 2023, 10:14 pm by D. Daxton White
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
2 Nov 2023, 6:55 am by Silver Law Group
His previous employers include Wells Fargo Advisors, LLC (CRD# 19616) of Hallandale, FL, UBS Financial Services Inc. [read post]