Search for: "UBS Financial Services"
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8 Sep 2019, 7:51 am
Barrios, formerly registered with UBS Financial Services Inc. [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]
9 Dec 2009, 3:19 pm
In an arbitration case that could affect numerous cases that are still pending, a Financial Industry Regulation Authority panel awarded a small investor $200,000 after finding that a UBS Financial Services broker acted inappropriately when he sold high-risk Lehman Brothers Holdings Inc. principal-protected notes to the claimant. [read post]
6 Dec 2016, 9:32 am
UBS Financial Services Inc. lost again in another arbitration claim regarding Puerto Rico closed-end municipal bond funds, this time for $18.6 million. [read post]
29 Sep 2015, 2:47 pm
The Securities and Exchange Commission settled charges against UBS Financial Services of Puerto Rico for failing to supervise former broker, Jose Ramirez Jr. who allegedly had customers invest in funds using money borrowed from a UBS Puerto Rico affiliated bank. [read post]
5 Dec 2014, 10:15 am
Young”), a registered representative formerly employed by UBS Financial Services, Inc. [read post]
17 Oct 2013, 8:41 am
Durante la mañana de hoy, la secretaria de la Gobernación, Ingrid Vila Biaggi, expresó que es imposible que el gobierno de Puerto Rico pueda entablar una demanda contra UBS Financial Services, debido a que los términos para hacerlo se vencieron durante el cuatrienio pasado. [read post]
18 Nov 2019, 3:30 am
UBS Financial Services Incorporated of Puerto Rico et al En demasiadas ocasiones acuden ciudadanos al tribunal con reclamaciones contractuales que, aunque pueden ser justas, no pueden resolverse en el tribunal por haber pactado en el contrato que las controversias de ese tipo deben llevarse ante un foro de arbitraje. [read post]
2 Sep 2009, 11:00 am
Internal Revenue Service. [read post]
10 Nov 2014, 10:37 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 and agreed to the payment and restitution of $1,681,556 to certain clients and anther $3,500,000 to the Investor Education and Investigation Fund. [read post]
11 Feb 2011, 7:52 am
Under the terms of the settlement, UBS Securities LLC and UBS Financial Services, Inc. have agreed to offer the repurchase of $1.5 billion in ARS sold to retail investors in New Jersey. [read post]
19 May 2024, 7:02 pm
Our Broker Fraud Lawyer Are Representing This Claimant and Others Against UBS Financial Services The Shepherd Smith Edwards and Kantas Broker Fraud Lawyer Team (investorlawyers.com) is representing another investor in their UBS Yield Enhancement Strategy (YES) loss lawsuit against UBS Financial Services. [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]
2 May 2012, 6:29 am
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
12 May 2012, 4:25 am
., 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 recommending these ETFs. [read post]
12 May 2012, 4:25 am
., 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 recommending these ETFs. [read post]
13 Jun 2008, 4:55 pm
The latest news in the auction-rate securities debacle is that UBS Financial Services might have known as early as December that a segment of the municipal bond business was in trouble, but the Wall Street firm kept selling the investments to some clients without warning them of the risk. [read post]
8 Jun 2021, 1:45 pm
The alleged conduct occurred while UBS Financial Services Inc. [read post]
24 Jan 2022, 2:45 pm
The Securities and Exchange Commission charged German Nino, a former securities broker and investment adviser representative for UBS Financial Services Inc., with stealing $5.8 million from a long-standing client. [read post]
