Search for: "UBS Financial Services"
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22 Jan 2010, 7:35 pm
This leaves the question of how will other UBS Swiss bank accounts at other banks will be impacted. [read post]
2 May 2012, 6:42 am
The SEC had alleged that UBS Financial Services Inc. of Puerto Rico, starting in 2008, solicited thousands of retail investors, saying a competitive and liquid secondary market contributed to their closed-end mutual funds’ performance. [read post]
26 Nov 2012, 3:35 am
UBS Financial Services--did not qualify. [read post]
17 Oct 2016, 8:33 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC has fined UBS Financial Services over $15 million because of its failure from 2011 to 2014 to educate and train retail brokers on the sale of almost $11 billion of complex structured products.UBS gave brokers inadequate information on the potential risks to its brokers involving the sale of complex single-stock linked reverse convertible notes (RCNs) to 44,000 customer accounts. [read post]
3 Nov 2015, 7:21 am
” The attorneys at Lax & Neville LLP have extensive experience in the financial services industry. [read post]
15 Feb 2011, 4:17 pm
In May 2008, Barker was told that the financial firm was letting her go due to a general reduction in UBS’ workforce. [read post]
22 Apr 2014, 10:30 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Edward Dulin, a broker currently working at Bank of America Corp’s Merrill Lynch unit, alleged his ex-employer UBS AG misled its advisors about the financial health of Lehman Brothers Holdings Inc. [read post]
30 Jul 2008, 9:05 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]
11 Nov 2011, 3:48 pm
SEC Charges UBS With Faulty Recordkeeping Related to Short Sales, SEC, November 10, 2011 FINRA Fines UBS Securities $12 Million for Regulation SHO Violations and Supervisory Failures, FINRA, October 25, 2011 More Blog Posts: UBS Fined $12M for Supervisory Failures and Regulation SHO Violations in Securities Short Sales, Institutional Investor Securities Blog, October 25, 2011 UBS Financial Services Fined $2.5M and Ordered to Pay $8.25M Over… [read post]
20 Oct 2013, 4:33 pm
In 2012, the SEC charged UBS Financial Services Inc. of Puerto Rico and two executives with making misleading statements to investors, concealing a liquidity crisis, and masking its control of the secondary market for 23 proprietary closed-end mutual funds. [read post]
9 May 2023, 4:33 am
DuBree Investment Adviser UBS Financial Services Inc. [read post]
20 Jul 2021, 6:17 am
UBS Financial Services reportedly agreed to pay $8.1 million in disgorgement, interest and a civil penalty after the SEC said that the firm’s advisors placed 1,882 accounts in the iPath S&P 500 VIX Short-Term Futures ETN for extended periods between January 2016 and January 2018, according to the order. [read post]
8 Mar 2021, 7:24 am
Before working for Dinosaur Financial Group, Karandos worked for Morgan Stanley Smith Barney and UBS Financial Services. [read post]
27 Jul 2018, 8:00 am
Previous registrations include Wells Fargo Clearing Services in Albany, New York (2012-2018); UBS Financial Services in Albany, New York (2006-2012); and Mercer Allied Company in Albany, New York (1999-2006). [read post]
20 May 2019, 6:08 am
According to BrokerCheck records financial advisor William Hobby (Hobby), formerly employed by UBS Financial Services Inc. [read post]
27 Mar 2023, 4:05 am
Filler Institute for Financial Services Law / SPECIAL PROGRAM ON FINANCIAL SERVICES LAW (TUESDAY, APRIL 11, 2023) Financial Professionals Coalition, Ltd. [read post]
24 Jul 2008, 12:09 pm
Cuomo said his office has filed a lawsuit against UBS Securities LLC and UBS Financial Services Inc. for falsely selling and marketing auction-rate securities as safe and liquid investments. [read post]
12 Oct 2011, 3:00 am
UBS Financial Services, Inc., et al. v. [read post]
24 Jan 2012, 3:10 am
UBS Financial Services, Inc. filed a lawsuit this week in U.S. federal court against Anthony Ostlund Baer & Louwagie, P.A. claiming that, contrary to applicable ethical standards of professional conduct, AOBL, having represented USBFS is now suing USBFS in a “substantially … Continue reading ? [read post]
1 May 2012, 2:22 pm
., 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... [read post]
