Search for: "UBS Financial Services"
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3 Jan 2020, 1:37 pm
Silver Law Group represents investors in arbitration claims against UBS Financial Services. [read post]
24 Dec 2019, 8:27 am
(CRD#:2525), also of Los Angeles, and UBS Financial Services Inc. [read post]
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 LLC Aegis… [read post]
23 Dec 2019, 7:30 am
Thirteen prominent banks and financial services companies agreed to pay $337 million to resolve claims by investors that they conspired to rig prices of bonds issued by mortgage companies Fannie Mae and Freddie Mac for a decade. [read post]
19 Dec 2019, 2:51 pm
Cornide has reportedly been employed by UBS Financial Services since 2005, and works out of the firm’s Coral Gables, Florida office. [read post]
13 Dec 2019, 1:58 pm
UBS Financial Services Inc.). [read post]
6 Dec 2019, 2:10 pm
On November 11, 2019, the Hong Kong Securities and Futures Commission (“SFC”) announced that UBS Financial Services (“UBS”) was fined $51.09 million for overcharging thousands of clients throughout the last decade. [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 Devaney,… [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]
1 Nov 2019, 6:42 am
Citigroup Global Markets, UBS Securities, and Top Capital Partners Limited were joint bookrunners for the offering. [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, 12:48 pm
By the same token, whistleblower revelations “have been central” to many of the regulatory enforcement actions brought against the financial services industry in the last decade, in the U.S. and elsewhere. [read post]
20 Oct 2019, 5:58 am
LLC; 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]
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]
7 Oct 2019, 12:48 pm
The post UBS Financial Services Censured & Fined $2,000,000 appeared first on The White Law Group. [read post]
