Search for: "UBS FINANCIAL SERVICES INC."
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8 Sep 2019, 7:51 am
Barrios, formerly registered with UBS Financial Services Inc. [read post]
11 Jun 2008, 11:33 am
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for… [read post]
12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for… [read post]
19 May 2022, 12:59 pm
A longtime UBS Financial Services employee in Waco, Turner reportedly canceled a hearing Friday at which UBS was set to ask the court to grant a pre-judgment writ of attachment that would have seized Turner’s assets, according to the article. [read post]
7 Nov 2016, 2:48 pm
According to FINRA, UBS Financial Services Inc. has been ordered to pay an arbitration award of close to $1 million to an investor who sued the firm over losses stemming from investments in UBS Puerto Rico closed-end bond funds. [read post]
16 Apr 2010, 8:10 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded damages to the Marcus family and their affiliated profit sharing and retirement plans as a result of losses sustained in so-called Lehman principal protected structured notes sold to them by UBS Financial Services, Inc. [read post]
3 Oct 2013, 7:10 am
” According to the Caribbean News, the statement of claim names: “UBS Financial Services Inc.; UBS Bank USA; UBS financial consultants and investment executives José M. [read post]
29 Apr 2013, 4:11 am
In the Matter of the FINRA Arbitration Between UBS Financial Services, Inc., Claimant/Counter-Respondent, vs. [read post]
12 Sep 2019, 1:06 am
As set forth in part in the FINRA Arbitration Decision, Claimant Credit Suisse alleged that:Respondent UBS Financial Services Inc.’s unfair competit... [read post]
15 Oct 2013, 2:29 pm
This article was originally posted on Stock Market LossThe UBS Puerto Rico family of funds consists of 14 closed-end funds, sold exclusively through registered representatives and brokers with UBS Financial Services Inc. of Puerto Rico. [read post]
23 Mar 2022, 6:36 am
It is alleged that Credit Suisse Securities, LLC and UBS Financial Services, Inc. failed to perform the necessary due diligence on these investments prior to recommending them to these particular investors. [read post]
7 May 2021, 4:10 am
Federal Court Rejects TRO Against Brokerage and RIA (BrokeAndBroker.com Blog)UBS Financial Services, Inc.; UBS Financial Services Incorporated of Puerto Rico; UBS Trust Company of Puerto Rico, Petitioners/Appellees, v. [read post]
3 Apr 2017, 6:41 am
Recovery of Puerto Rico Closed-end Bond funds losses Now UBS Financial Services Inc. [read post]
18 Jul 2007, 5:29 pm
UBS Financial Services, Inc. will pay $23.3 million to settle charges by New York's Attorney General of "inappropriately steering" of brokerage customers into fee-based accounts. [read post]
12 Aug 2009, 4:51 pm
UBS Financial Services Inc. has agreed to be fined $100,000 and Merrill Lynch, Pierce, Fenner & Smith Inc. has consented to a $150,000 fine, says the Financial Industry Regulatory Authority, for alleged supervisory failures that resulted in the inappropriate short-term sales of closed-end funds that were bought at initial public offerings for the funds. [read post]
19 Feb 2019, 2:04 pm
His previous employers include UBS Financial Services Inc. [read post]
10 Aug 2018, 1:47 pm
His most recent employer was UBS Financial Services Inc. [read post]
8 Jun 2021, 1:45 pm
The alleged conduct occurred while UBS Financial Services Inc. [read post]
3 Jun 2023, 2:15 pm
District Court for the District of Arizona granted defendants UBS Financial Services Inc. and UBS Credit Corp. [read post]
