Search for: "UBS Financial Services"
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31 Oct 2013, 7:18 am
Murray, dismissed the Securities and Exchange Commission’s charges filed against two principles, Miguel Ferrer and Carlos Ortiz, of UBS Financial Services of Puerto Rico for allegedly making misleading statements to investors, concealing a liquidity crises and masking UBS’ control over the secondary market for the 23 proprietary closed-end mutual funds. [read post]
15 Jun 2023, 7:07 pm
A new study by UBS Financial Services found that a third of women are the primary earners at home, but only 50% of these women in heterosexual relationships are involved in making financial decisions at home. [read post]
17 Nov 2014, 5:00 am
Kessenich previously served as a financial adviser at UBS Financial Services and worked in private equity as a vice president at Townsend Capital and an associate ... [read post]
13 Mar 2015, 7:05 am
However, the audio recordings show that these brokers’ concerns were unacceptable to Miguel Ferrer, the chairman of UBS Financial Services Inc of Puerto Rico, who stated that the brokers should change their mindset or leave the firm. [read post]
12 Aug 2009, 4:51 pm
UBS Financial Services Inc. has agreed to be fined $100,000 and Merrill Lynch, Pierce, Fenner & Smith Inc. has consented to a $150,000 fine, says the Financial Industry Regulatory Authority, for alleged supervisory failures that resulted in the inappropriate short-term sales of closed-end funds that were bought at initial public offerings for the funds. [read post]
28 Dec 2010, 1:07 pm
An arbitration panel awarded an investor more than $2.2 million for losses resulting from the purchase of structured notes issued by Lehman Brothers, which were purchased from UBS Financial Services, Inc. [read post]
19 Dec 2013, 7:04 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2011, Claimant UBS Financial Services Inc. alleged a breach of promissory note by Respondent Atlas and sought $497,844.23 in compensatory dam... [read post]
21 Jun 2019, 12:21 pm
Barrios worked with UBS from 2008 to 2019. [read post]
30 Nov 2016, 8:55 am
Chaves (CRD# 5827677) has been registered with UBS Financial Services in San Juan, PR since August 2012. [read post]
13 Nov 2009, 4:19 pm
Stifel has been working to turn its business into a full-service investment bank and its subsidiary, Stifel, Nicolaus, & Co., recently completed its buy of 56 UBS Financial Services Inc. branches, which it purchased for at least $46 million. [read post]
19 Sep 2011, 1:20 am
“The Financial Services Authority and its Swiss counterpart have ordered a ‘comprehensive, independent investigation’ into the events surrounding trading losses at the bank’s London operations.” Full story Daily Telegraph, 17th September 2011 Source: www.telegraph.co.uk [read post]
26 Nov 2009, 4:30 am
None of the entities sued by the SEC using the UBS name are related to or affiliated with UBS, AG, the Switzerland-based financial services firm. [read post]
8 Oct 2008, 1:56 pm
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
23 Jun 2014, 2:38 pm
According to Ramirez’s BrokerCheck he is listed as the broker of record on more than 35 customer complaints relevant to the time he was working at UBS Financial Services. [read post]
3 Jun 2023, 2:15 pm
District Court for the District of Arizona granted defendants UBS Financial Services Inc. and UBS Credit Corp. [read post]
1 May 2014, 6:40 am
Promissory Notes (often called up-front forgivable loans) are commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley Smith Barney, Banc of America Investment Services, Wells Fargo, Merrill Lynch, Ameriprise , and UBS Financial Services. [read post]
19 Feb 2019, 2:04 pm
His previous employers include UBS Financial Services Inc. [read post]
25 Jun 2008, 2:45 pm
One of Connecticut’s wealthiest families has recently brought an attachment suit against UBS AG, UBS Securities, LLC and UBS Financial Services, Inc. in an effort to require UBS to set aside $150 million to cover a potential reward in an ongoing FINRA arbitration concerning auction rate securities “ARS”). [read post]
25 Jun 2008, 2:45 pm
One of Connecticut’s wealthiest families has recently brought an attachment suit against UBS AG, UBS Securities, LLC and UBS Financial Services, Inc. in an effort to require UBS to set aside $150 million to cover a potential reward in an ongoing FINRA arbitration concerning auction rate securities “ARS”). [read post]
19 Aug 2014, 1:00 pm
Our attorneys draw on a combined experience of nearly 50 years in delivering the highest quality legal services. [read post]
