Search for: "UBS Financial Services"
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21 Mar 2018, 7:53 am
UBS and its affiliated firm, UBS Financial Services Inc. of Puerto Rico, have already paid millions of dollars due to client losses in Puerto Rico proprietary closed-end bond funds filled with Puerto Rico municipal securities issued by various authorities and agencies. [read post]
28 Jan 2009, 2:48 pm
According to a report in the Wall Street Journal the Internal Revenue Service (IRS) now believes that the number of UBS clients who hold offshore accounts is higher than the 17,000 originally reported. [read post]
7 Nov 2016, 2:48 pm
According to FINRA, UBS Financial Services Inc. has been ordered to pay an arbitration award of close to $1 million to an investor who sued the firm over losses stemming from investments in UBS Puerto Rico closed-end bond funds. [read post]
7 May 2012, 2:07 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
16 Apr 2010, 8:10 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded damages to the Marcus family and their affiliated profit sharing and retirement plans as a result of losses sustained in so-called Lehman principal protected structured notes sold to them by UBS Financial Services, Inc. [read post]
2 May 2012, 6:14 am
("Citigroup"), Morgan Stanley, UBS Financial Services, Inc. [read post]
3 Oct 2013, 7:10 am
” According to the Caribbean News, the statement of claim names: “UBS Financial Services Inc.; UBS Bank USA; UBS financial consultants and investment executives José M. [read post]
26 May 2010, 3:00 am
UBS: The strongest political opponent of a parliamentary approval of the 2009 Swiss-US agreement on release of UBS accountholders' names has now announced that it will support the deal. [read post]
19 Mar 2020, 11:06 am
About Zamansky LLC Zamansky LLC is one of the leading law firms with a practice focused on securities fraud and financial services arbitration and class action litigation. [read post]
19 Apr 2021, 11:07 am
Paul Koch, former UBS Financial advisor, Reportedly Sued for Unsuitable Investments According to Financial Advisor IQ today, the Financial Industry Regulatory Authority is reviewing former UBS Financial advisor, Paul Koch (CRD#: 1777599) of Wayzata, MN, in connection with allegations that he recommended unsuitable outside investments to a former professional football player. [read post]
15 Oct 2013, 2:29 pm
This article was originally posted on Stock Market LossThe UBS Puerto Rico family of funds consists of 14 closed-end funds, sold exclusively through registered representatives and brokers with UBS Financial Services Inc. of Puerto Rico. [read post]
29 Sep 2016, 12:38 pm
UBS Financial Services paid more than $15 million to settle Securities and Exchange Commission charges that it improperly sold risky, complex products to investors, the agency announced on Wednesday. [read post]
29 Apr 2013, 4:11 am
In the Matter of the FINRA Arbitration Between UBS Financial Services, Inc., Claimant/Counter-Respondent, vs. [read post]
8 Sep 2010, 11:55 am
You can find the audio interview and other items on the UBS banking secrecy case, at this link. [read post]
10 Aug 2018, 8:10 am
Maccoll – UBS Financial Services According to a press announcement yesterday, the Securities and Exchange Commission has charged former financial advisor John C. [read post]
4 Nov 2011, 10:48 am
As the U.S. investment banking and securities arm of UBS AG, the giant Swiss financial services company, UBS provides investment banking, research, and sales and trading services, mostly to corporate and institutional clients. [read post]
6 Aug 2004, 3:38 am
Parmalat, which filed the suit in Parma, Italy, said the claim stemmed from loans granted by the financial services firm in July 2003. [read post]
26 Oct 2018, 2:29 pm
Herrera – UBS Financial – Coral Gables, FL According to a press release, UBS Financial Services is facing a claim that it failed to supervise one of its former brokers, Alex G. [read post]
20 Dec 2018, 10:33 am
Financial Industry Regulatory Authority (FINRA) also imposed fines over the same purported anti-money laundering (AML) deficiencies—a $4.5M fine for UBS Financial Services and a $500K fine for UBS Securities, LLC. [read post]
3 Mar 2011, 9:14 am
Kobayashi, a financial advisor working in the Walnut Creek, California, office of UBS Financial Services LLC. [read post]
