Search for: "UBS Financial Services Inc "
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24 Dec 2019, 7:38 am
According to FINRA Disciplinary actions for December 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Amparo, Nelson Citizens Securities, Inc Santander Securities LLC Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Brown, Andrew Worden Capital Management… [read post]
13 Dec 2019, 1:58 pm
UBS Financial Services Inc.). [read post]
6 Dec 2019, 12:39 am
UBS Financial Services Inc., Respondent (FINRA Arbitration Decision)Federal Court Does Not Condone E*Trade's Onboarding Sloppiness But Keeps Injunction Against Former Rep in Place. [read post]
26 Nov 2019, 7:12 am
According to FINRA Disciplinary actions for October 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Clay, Nathaniel Laidlaw & Company (UK) LTD National Securities Corp Gennity, William First Standard Financial Company Alexander Capital Germano, Anthony Wells Fargo Advisors Financial Network… [read post]
26 Nov 2019, 6:50 am
According to FINRA Disciplinary actions for October 2019, 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 Bender, Charles Suntrust Investment Services, Inc JP Morgan Securities Bingham, Daniel Essex Securities Investors Capital Corp … [read post]
29 Oct 2019, 9:00 am
While her claims included a bit more, a former star broker for UBS Financial Services Inc. who was repeatedly called a "bitch" by her boss won a $1.6 million arbitration award last month.According to InvestmentNews.com, the broker, Chrisine Carona, worked for UBS in Boston from March 2009 through July 2017 and currently is employed by Morgan Stanley. [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]
22 Oct 2019, 10:26 am
According to FINRA Disciplinary actions for August 2019, 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 Carolyn Andrews UBS Financial Services Morgan Keegan & Company Meiewyn Avent Alliance-One Investments Metlife… [read post]
20 Oct 2019, 5:58 am
LLC; UBS Financial Services, Inc. [read post]
8 Oct 2019, 4:51 am
UBS Financial Services, Inc. (19-249): Whether the grant of an employee stock option is a “sale” of a security under the Securities Act of 1933.Isaacson/Weaver Family Trust v. [read post]
2 Oct 2019, 6:00 am
” Making the event possible were sponsors Chain | Cohn | Stiles (presenting sponsor), Chevron, Kern High School District, STEPS, Sally Herald Accountancy Inc., UBS Financial, Clinica Sierra Vista, Kern Schools Federal Credit Union, Kern County Prosecutors Association, Strata Credit Union, Wells Fargo, Vince Fong for Assembly and more. [read post]
27 Sep 2019, 3:33 am
featured in today's Securities Industry Commentator: Fines UBS Financial Services Inc. $2 Million for Continued Failures Relating to Short Positions in Municipal Securities / Firm Inaccurately Represented the Tax Status of Thousands of Interest Payments to Customers; Restitution Ordered (FINRA Release)AG James Imposes $12.5 Million Penalty On Brokerage Firms For Martin Act Violations (NYAG Release)New Jersey Court Sustains Banking/Insurance Commissioners… [read post]
20 Sep 2019, 11:22 am
November 2008 to August 2013, Konecny was registered with UBS Financial Services Inc. [read post]
18 Sep 2019, 6:00 am
It’s also supported this year by Chevron, Kern High School District, STEPS, Sally Herald Accountancy Inc., UBS Financial, Clinica Sierra Vista, Kern Schools Federal Credit Union, Kern County Prosecutors Association, Strata Credit Union, Wells Fargo, and more. [read post]
13 Sep 2019, 1:01 pm
UBS Lawsuit reportedly involves Bill Hightower According to the Financial Industry Regulatory Authority (FINRA), a FINRA panel ordered UBS Financial Services Inc. to pay $555,000 to an elderly Texas widow for investment losses in her individual retirement accounts due to allegedly unsuitable investments. [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]
8 Sep 2019, 7:51 am
Barrios, formerly registered with UBS Financial Services Inc. [read post]
23 Aug 2019, 12:50 pm
Another FINRA Award involving UBS Puerto Rico Bonds According to award posted this week, a group of investors who bought Puerto Rico bonds and closed-end funds reportedly won a $4.4 million arbitration claim against UBS Financial Services Inc. in Puerto Rico. [read post]
20 Aug 2019, 3:05 pm
Plaintiffs sued both UBS Financial Services, Inc. [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended 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 Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors… [read post]
