Search for: "UBS Financial Services"
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24 May 2018, 1:52 pm
Pursuant to his publicly available FINRA BrokerCheck report, prior to being employed by Stockcross, Voss was a registered representative with UBS Financial Services, also in Beverly Hills, until 2009. [read post]
22 Sep 2018, 10:40 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor John Maccoll (Maccoll), formerly associated with UBS Financial Services Inc. [read post]
22 Dec 2008, 5:18 pm
UBS Financial Services, Inc., UBS Securities, LLC, and Citigroup have reached finalized settlements with the Securities and Exchange Commission to pay tens of thousands of ARS investors almost $30 billion. [read post]
11 May 2022, 11:15 am
UBS Financial Services is suing former financial adviser Robert Turner of Waco, Texas for alleged misappropriation of over $17 million from at least 23 customers over a 24-year period. [read post]
29 Jan 2018, 2:34 pm
Although less mentioned, the Protocol was also clearly designed to reduce the amount of litigation in the financial services industry. [read post]
17 Aug 2020, 1:11 pm
If you are reading this Blog, UBS Financial Services, Inc. [read post]
16 May 2011, 9:48 pm
UBS Financial Services Inc. has consented to a $160 million settlement over charges that it took part in anticompetitive practices in the municipal bond market. [read post]
20 Jan 2009, 3:25 am
., a firm with a dual focus on computer hardware technology and health care technology, recently filed suit against UBS AG, UBS Financial Services and UBS Securities LLC (“UBS”) for allegedly fraudulently inducing Hutchinson to purchase millions of dollars in auction rate securities (ARS). [read post]
6 Mar 2018, 5:23 am
According to the Financial Industry Regulatory Authority Inc., an all-public arbitration FINRA panel has awarded five clients of UBS Financial Services more than $521,000 in compensatory damages in a case related to the clients’ investments in Puerto Rican bonds and closed-end bond funds (CEFs). [read post]
20 Jul 2020, 2:09 pm
The Securities and Exchange Commission today announced that UBS Financial Services Inc. has agreed to pay more than $10 million to resolve charges that it circumvented the priority given to retail investors in certain municipal bond offerings. [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]
29 Sep 2011, 9:49 am
Jobs at Wall Street banks are being eliminated at an increasingly rapid pace and this bodes ill for many employed in the financial services sector. [read post]
26 Jul 2007, 7:00 am
According to the complaint, UBS falsely promised comprehensive and sophisticated financial planning services. [read post]
25 Oct 2013, 3:45 pm
According to the SEC, UBS Financial Services of Puerto Rico Inc. [read post]
14 Sep 2017, 9:27 am
According to Esteva’s BrokerCheck Report, he was registered with UBS Financial Services from November 2015 until this July. [read post]
16 Mar 2013, 7:26 am
Plaintiffs alleging injuries by acts of international terrorism have sought to recover treble damages for their injuries from financial institutions on the theory that the financial institutions supplied, directly or indirectly, financial services to the terrorist groups. [read post]
8 Sep 2019, 7:51 am
Barrios, formerly registered with UBS Financial Services Inc. [read post]
17 Aug 2012, 11:04 am
Willful failure to file a Form TD F 90-22.1, or Foreign Bank and Financial Accounts Report, more commonly known as an FBAR is a criminal violation of the Bank Secrecy Act. [read post]
10 Oct 2019, 1:05 pm
According to the Wall Street Journal on August 23, 2019, UBS Financial Services is facing more than two dozen customer complaints related to the UBS Yes Strategy, a complex investment strategy involving option contracts and leverage. [read post]
17 Oct 2014, 7:07 am
According to InvestmentNews, UBS Financial Services Inc. of Puerto Rico has agreed to pay $1.7 million to investors to settle allegations that some investors were placed into unsuitable closed-end bond funds. [read post]
