Search for: "UBS Financial Services Inc."
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14 Feb 2017, 2:34 pm
He was previously registered with UBS Financial Services, Inc. from November 1998 to March 2008, according to BrokerCheck records. [read post]
3 Feb 2017, 6:31 am
From September 2010 until October 2016 Fagenson was associated with UBS Financial Services Inc. [read post]
25 Jan 2017, 12:21 pm
Paesano’s publicly available BrokerCheck report, as maintained by the Financial Industry Regulatory Authority (FINRA), he has been the subject of 15 customer complaints, spanning his employment and registration at two broker-dealers, including Morgan Stanley from May 2011 to January 2017 and UBS Financial Services, Inc. from August 2005 to May 2011. [read post]
25 Jan 2017, 12:21 pm
Paesano’s publicly available BrokerCheck report, as maintained by the Financial Industry Regulatory Authority (FINRA), he has been the subject of 15 customer complaints, spanning his employment and registration at two broker-dealers, including Morgan Stanley from May 2011 to January 2017 and UBS Financial Services, Inc. from August 2005 to May 2011. [read post]
30 Dec 2016, 11:09 am
According to reports, UBS Financial Services Inc. discharged top broker Phil Fiore Jr., for not keeping his employer informed of outside business activities, even while he was under heightened supervision. [read post]
27 Dec 2016, 10:41 am
Wills Provided to UBS/TER Technology/Chemtura/Anderol Inc. [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]
30 Nov 2016, 4:09 pm
In the past, that’s included investors in a particular tax shelter or account holders at a defined financial institution: the IRS has made use of the procedure, for example, when seeking information about offshore accounts those related to the UBS investigation. [read post]
28 Nov 2016, 9:37 am
Prior to that, he was registered with UBS Financial Services in Chesterfield, MO from 09/2011 – 08/2014. [read post]
28 Nov 2016, 8:10 am
In UBS Financial Services Inc. v. [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]
21 Sep 2016, 7:07 am
From 1992 through January 2011 Salem was registered with UBS Financial Services, Inc. [read post]
21 Sep 2016, 7:07 am
From 1992 through January 2011 Salem was registered with UBS Financial Services, Inc. [read post]
20 Sep 2016, 11:25 am
From 2001 until March 2012 Beck was registered with UBS Financial Services, Inc (UBS). [read post]
20 Sep 2016, 11:25 am
From 2001 until March 2012 Beck was registered with UBS Financial Services, Inc (UBS). [read post]
17 Sep 2016, 7:59 am
According to FINRA, from April 2011 through October 2012, while Walji was associated with UBS Financial Services, Inc (UBS), Walji participated in two outside business activities (OBAs) and participated in six private securities transactions without providing prior written notice of the OBAs or the private securities transactions to his firm. [read post]
6 Sep 2016, 7:53 am
Customers have recently filed about five complaints with the Financial Industry Regulatory Authority’s (FINRA) against broker Bradley Ross (Ross), a registered representative with UBS Financial Services Inc. [read post]
18 Aug 2016, 2:54 pm
Just this month, UBS Financial Services, Inc. submitted a Letter of Acceptance, Waiver and Consent No. 2013038351701 (AWC) that detailed a $250,000 fine for failures in supervision regarding sales of mutual fund shares to investors. [read post]
3 Aug 2016, 2:30 pm
Margiotta was employed by UBS Financial Services Inc. from October 2008 to June 2015, and with Citigroup Global Markets Inc. from December 2003 to November 2008, as well as other prior firms. [read post]
26 Jul 2016, 2:38 pm
Syslo is currently employed by UBS Financial Services, Inc. [read post]
