Search for: "UBS Financial Services"
Results 341 - 360
of 1,089
Sort by Relevance
|
Sort by Date
21 Jun 2019, 12:21 pm
Barrios worked with UBS from 2008 to 2019. [read post]
15 Jun 2019, 12:55 pm
Timothy Joseph Croak has spent 41 years in the securities industry, has been registered with UBS Financial Services Inc. in New York, NY since November 24, 2015, FINRA notes, and has also been registered with the following firms: Credit Suisse Securities LLC, New York, NY— January 17, 2003 until December 18, 2015Donaldson, Lufkin, & Jenrette Securities Corporation, Jersey City, NJ— May 22, 1990 until January 17, 2003Finally, it is important to note that,… [read post]
12 Jun 2019, 2:48 pm
” The award recipients were as follows (for a full awards list, scroll to the bottom of this post): Top DUI Arresting Officer: Officer Robert Tyo, Bakersfield Police Department, 223 DUI arrests Prosecutor of the Year: Kim Richardson, Kern County District Attorney’s Office Probation Department Award: Brian Mara, DUI Program Supervisor Community Champion Award: Jeff Platt, Eyewitness News Top CHP Officer: Officer Rodney Black (Bakersfield), 117 DUI arrests The awards ceremony was organized… [read post]
23 May 2019, 2:00 pm
His other former employers include Morgan Stanley (CRD#: 149777), UBS Financial Services Inc. [read post]
23 May 2019, 1:39 pm
His previous employers include UBS Financial Services Inc. [read post]
23 May 2019, 7:47 am
According to FINRA Disciplinary actions for May 2019, the following individuals were suspended 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 Bang, Gregory NYLife Securities LLC Bishop, Tywan Charles Schwab & Co, Inc ETrade Block, Gabriel First Standard Financial Company LLC… [read post]
22 May 2019, 10:16 am
These firms include UBS Financial Services, Merrill Lynch, Credit Suisse, and Morgan Stanley. [read post]
21 May 2019, 1:46 pm
Fagenson was employed at the Palm Beach, Florida location of UBS Financial Services. [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]
18 May 2019, 10:31 am
These firms include UBS Financial Services, Merrill Lynch, Credit Suisse, and Morgan Stanley. [read post]
17 May 2019, 11:20 am
His previous employers include Prudential Securities Incorporated (CRD#:7471) of New York, NY, UBS Painewebber Inc. [read post]
30 Apr 2019, 12:26 pm
Cornide Jr. has been registered with UBS Financial Services Inc. in Coral Gables, FL since May 11, 2004, FINRA reports. [read post]
25 Apr 2019, 11:59 am
According to FINRA Disciplinary actions for April 2019, the following individuals were suspended 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 Acca, Lisa Arive Capital Markets Global Arena Capital Corp Boggs, Marcus Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America… [read post]
25 Apr 2019, 11:56 am
According to FINRA Disciplinary actions for April 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 Boj, Pedro UBS Financial Services Inc BBVA Securities of PR Brooks, Carter Wells Fargo Clearing Services LLC Edward Jones Lofaro, Patrick Rockwell Global Capital LLC … [read post]
1 Apr 2019, 7:54 am
The Yield Enhancement Strategy (YES) that UBS Financial Services, Inc. [read post]
29 Mar 2019, 12:01 pm
., who formerly worked as a broker for UBS Financial Services of Puerto Rico (UBS-PR), has been sentenced to a year and a day in prison for defrauding investors. [read post]
15 Mar 2019, 10:31 am
A UBS Financial Services options trading program marketed as a “Yield Enhancement” strategy to brokerage customers of UBS, reportedly including risk averse investors with substantial bond portfolios, suffered substantial losses approaching 20% of the capital committed in late 2018 and early 2019, although customers to whom the strategy was sold had reportedly been under the impression that the maximum loss they faced in a given month was 1-2%. [read post]
3 Mar 2019, 1:02 pm
UBS’ so-called Yield Enhancement Strategy or YES was pitched by some financial advisors to investors as a safe investment tool to enhance the yield in their portfolios. [read post]
2 Mar 2019, 8:30 am
Although many of the thousands of cases investors in Puerto Rico bonds and closed-end funds have brought over the last five years have focused on UBS Financial Services Incorporated of Puerto Rico (“UBS-PR”), other brokerage firms in the Commonwealth engaged in the same wrongful sales practices. [read post]
28 Feb 2019, 8:18 am
Jonathan Murray, Brian Doak, Dale Horn, Kyle Harris and Bart Gibson, advisers in the Baltimore and Hunt Valley branches of UBS Financial Services Inc., were named to the Forbes 2019 Best-In-State Wealth Advisors list. [read post]
