Search for: "UBS Financial Services"
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28 Jul 2022, 9:51 am
Morgan Securities LLC, UBS Financial Services Inc., and TradeStation Securities, Inc. for deficiencies in their programs to prevent customer identity theft, in violation of the SEC’s Identity Theft Red Flags Rule, or Regulation S-ID. [read post]
23 Jan 2010, 6:51 am
[JURIST] The Swiss Federal Administrative Court [official website, in French] ruled [judgment, PDF, in German; press release, PDF, in French] Thursday that an American taxpayer's financial information at Swiss bank UBS [corporate website] may not be disclosed to the US Internal Revenue Service (IRS) [official website] pursuant to an August 2009 agreement [text, PDF; JURIST report]. [read post]
15 Jun 2011, 7:11 am
In one of the largest dollar awards to date in a Lehman note case against UBS Financial Services Inc., a Financial Industry Regulatory Authority (FINRA) arbitration panel [read post]
8 Jul 2008, 1:49 pm
In the Matter of UBS Securities, LLC and UBS Financial Services, Inc., Docket No. 2008-0045 (Mass. [read post]
25 Jul 2008, 2:47 pm
The New York Attorney General filed a civil complaint yesterday against UBS Securities LLC and UBS Financial Services, Inc. alleging that UBS "committed a multi-billion dollar consumer and securities fraud on the investing public by falsely selling securities facing mounting liquidity risk as cash equivalents. [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]
26 Jun 2008, 11:05 pm
Massachusetts regulators filed civil fraud charges against UBS Financial Services on June 26 for allegedly claiming that risky auction-rate securities were as safe as cash. [read post]
19 Jul 2021, 5:55 am
The Securities and Exchange Commission today filed a settled action against UBS Financial Services Inc. for compliance failures relating to sales of a volatility linked exchange-traded product (ETP). [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]
9 May 2008, 8:40 am
UBS Financial Services, Inc. and UBS Securities LLC entered into an agreement Wednesday with the Massachusetts Attorney General to return over $35 million to Massachusetts towns, cities and government entitities that UBS had invested in auction rate securities. [read post]
3 Feb 2009, 11:24 am
 The three firms - Citigroup Global Markets (Smith Barney), Merrill Lynch, and UBS Financial Services - signed an agreement called the Protocol for Broker Recruiting (the "Protocol"). [read post]
3 Apr 2017, 3:58 am
Asociación de Empleados del Estado Libre Asociado de Puerto Rico, En el 2013, la Asociación de Empleados del ELA (AEELA) demandó a UBS Financial Services, y afiliadas de Puerto Rico a raíz de la caída del mercado de bonos de Puerto Rico. [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]
8 Jul 2008, 7:47 pm
While he was a broker for UBS Financial Services, Timothy Flynn sold $30 million in auction-rate securities to towns and cities in Massachusetts. [read post]
30 Jul 2009, 3:22 pm
The Financial Industry Regulatory Authority (FINRA) has fined Merrill Lynch and UBS Financial Services $250,000 for supervisory failures that led to unsuitable sales of closed-end funds. [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]
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]
6 Aug 2013, 8:22 am
The UBS Paulson Advantage Fund is a feeder fund that was recommended and sold by UBS Financial Services to its brokerage customers to invest in the Paulson & Co. [read post]
