Search for: "UBS Financial Services"
Results 221 - 240
of 1,088
Sorted by Relevance
|
Sort by Date
3 Sep 2015, 7:00 am
A FINRA arbitration panel in San Juan found UBS Financial Services, Inc., and UBS Financial Services Inc. of Puerto Rico liable to Juan Burgos Rosado. [read post]
8 Aug 2008, 8:47 pm
The agreement has been reached between UBS Financial Services Inc. and the federal Securities and Exchange Commission and regulators in several states. [read post]
20 Mar 2011, 12:44 pm
In the event that UBS WMA fails to comply with the requirements of the EU or an independent expert determines that UBS WMA has failed to complete the remediation program, and such failures are significant, ASIC will assess whether it should take action to vary the conditions of UBS WMA’s Australian financial services licence (AFS licence). [read post]
9 Aug 2014, 6:41 am
The law offices of Gana LLP has recently filed securities arbitration case on behalf of an investor against UBS Financial Services, Inc. and UBS Financial Services, Inc. of Puerto Rico (UBS) involving allegations that UBS’ misleading sales tactics and inappropriate recommendations surrounding Puerto Rico bonds in the Claimant’s portfolio. [read post]
11 Jun 2008, 11:33 am
Documents reviewed by the Boston Globe reveal that UBS Financial Services knew of the looming collapse of the auction-rate securities market but it only tipped off a few select investors. [read post]
6 Nov 2014, 11:08 am
On October 9, 2014, Puerto Rico’s Office of the Commissioner of Financial Institutions (OCFI) has settled its claims with UBS Financial Services Incorporated of Puerto Rico (UBS Puerto Rico) over UBS’s sale of closed-end mutual funds in Puerto Rico. [read post]
21 Jun 2017, 8:50 am
Lech-Loubet is currently registered with UBS Financial Services, Inc. [read post]
21 Feb 2018, 12:00 pm
Only a few months after withdrawing from the Protocol, UBS Financial Services is requiring brokers waiting for their 2017 bonuses to sign agreements that open them to lawsuits and arbitration complaints if they try to contact former clients within 12 months of leaving the U.S. broker-dealer unit of the Swiss bank.UBS slipped the provision into the bonus agreement, without advising their brokers of this significant and dramatic change in the relationship. [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]
2 Sep 2015, 1:59 pm
According to Investment News, Gonzales and Gomez were part of a $10 million group claim Filed against UBS Financial Services of Puerto Rico. [read post]
27 Aug 2012, 9:38 am
Sonn | Erez continues to actively file claims in FINRA arbitration against UBS Financial Services to recover losses for investors who invested in Lehman Brothers Notes. [read post]
1 Jun 2022, 2:15 pm
UBS Financial Services is suing Robert Turner, of McGregor, Texas, on fraud allegations and is asking a judge to seize Turner’s assets to help UBS offset the cost of repaying its customers for some $17 million in losses. [read post]
21 Aug 2023, 9:42 am
Financial Crisis of 2008 The 2008 financial crisis, also known as the Global Financial Crisis (GFC), was a severe worldwide economic upheaval that emerged in the United States and had widespread repercussions globally. [read post]
11 Apr 2011, 12:41 pm
The Financial Regulatory Authority (FINRA) announced today that it has fined UBS Financial Services, Inc. $2.5 million, and ordered UBS to pay $8.25 million in restitution for omissions and statements regarding the “principal protection” feature of the 100% Principal-Protected Notes (PPNs) issued by Lehman Brothers Holdings Inc. prior to its September 2008 bankruptcy filing. [read post]
29 Jun 2022, 1:40 pm
The Securities and Exchange Commission today announced that UBS Financial Services Inc. has agreed to pay approximately $25 million to settle fraud charges relating to a complex investment strategy referred to as YES, or Yield Enhancement Strategy. [read post]
27 Jul 2022, 1:35 pm
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…Read the Full Press ReleaseHave a securities law question? [read post]
13 Dec 2019, 1:58 pm
UBS Financial Services Inc.). [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]
3 Jan 2020, 1:37 pm
Silver Law Group represents investors in arbitration claims against UBS Financial Services. [read post]
11 May 2008, 7:38 pm
UBS Financial Services Inc. and UBS Securities LLC, both units of UBS AG, have agreed to pay 19 Massachusetts public agencies and local governments over $35 million for their losses in the auction-rate securities market. [read post]
