Search for: "UBS Financial Services"
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27 Feb 2019, 9:02 am
Iron Condor An “iron condor” is a specific type of yield enhancement strategy sold by UBS Financial Services and other firms which involves four separate investment transactions. [read post]
27 Feb 2019, 7:40 am
The defendants in the case include JP Morgan (JPM), Bank of America (BAC), Citigroup (C), Barclays Bank (BARC), Deutsche Bank (DB), Credit Suisse (CS), UBS (UBS), Merrill Lynch, BNP Paribas Securities Corp., FTN Financial Securities, Goldman Sachs (GS), and First Tennessee Bank. [read post]
19 Feb 2019, 2:04 pm
His previous employers include UBS Financial Services Inc. [read post]
19 Feb 2019, 1:09 pm
Virginia Regulator Fines UBS Financial After Its Broker Makes Unsuitable Recommendations To settle charges brought by Virginia’s State Corporate Commission accusing a UBS (UBS) broker of making unsuitable recommendations involving gold and precious metals securities to 18 clients, UBS Financial Services will pay $319K—$289K to the clients and $30K to the state. [read post]
19 Feb 2019, 7:07 am
Several other firms, including UBS Financial Services Inc. [read post]
18 Feb 2019, 3:09 am
What we do know is that the stockbroker violated FINRA's rules by failing to inform his employer UBS Financial Services Inc. about his roles as a trustee and an attorney-in-fact. [read post]
16 Feb 2019, 1:34 pm
Daniel Levine, FINRA states, has been registered at the following firms: First Financial Equity Corporation, Greenwood Village, Colorado— July 5, 2018 to August 7, 2018Morgan Stanley, Greenwood Village, Colorado— June 7, 2013 to August 2, 2018 UBS Financial Services Inc., Littleton, Colorado— February 15, 2008 to June 17, 2013 Merrill Lynch, Pierce, Fenner & Smith Incorporated, Englewood, Colorado— December 6, 2002 to February… [read post]
15 Feb 2019, 11:32 am
During this time, he was an MSI Financial Services broker. [read post]
14 Feb 2019, 8:33 am
Puerto Rico’s Financial Oversight Board, which has been spearheading the territory’s efforts to recover from its debt crisis, said that the COFINA/Commonwealth settlement will reduce debt services on COFINA bonds by $17.5 billion over the 40-year life of these new bonds and that this should save the island $456 million yearly. [read post]
6 Feb 2019, 1:07 pm
His previous employers include Morgan Stanley (CRD #149777) of Garden City, NY, UBS Financial Services Inc. [read post]
31 Jan 2019, 8:04 am
Investment Fraud Attorneys for Claims Related to Complex Options Strategies, including the UBS “Yield Enhancement Strategy,” and “Iron Condor” Losses When you invest with a brokerage or advisory firm such as UBS Financial Services, Credit Suisse, Merrill Lynch, or Morgan Stanley, there is no shortage of investment options available. [read post]
30 Jan 2019, 12:56 pm
Towt & Assoc Wilde, Maurice Newbridge Securities Corp IFS Securities Wood, Stephen UBS Financial Services Inc Morgan Stanley Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
30 Jan 2019, 8:00 am
Zamansky LLC also represents investors in arbitration cases against UBS and other brokerage firms regarding Puerto Rico bonds and UBS closed end bond funds and other investments. https://www.puertoricobondfundsattorney.com/en/ The post The Leveraged Loan Ticking Time Bomb appeared first on Zamansky LLC. [read post]
29 Jan 2019, 10:13 am
In addition, under certain circumstances, the miscellaneous penalty could be elevated to 50 percent if the taxpayer maintained an account at a financial institution, or did business with an offshore service provider, identified on a list maintained by the IRS. [read post]
22 Jan 2019, 12:25 pm
Ronald Cole Suspended by UBS Financial Services, Inc. [read post]
17 Jan 2019, 7:02 am
Alex Gerardo Herrera (CRD #3204779) is a former registered broker and investment representative whose last employer was UBS Financial Services Inc. [read post]
15 Jan 2019, 10:24 am
The Financial Oversight Management Board for Puerto Rico (the Board) is asking a federal district court judge to invalidate over $6 Billion in general obligation (GO) bonds by disallowing any claims brought by the bonds’ holders. [read post]
10 Jan 2019, 12:53 pm
UBS Financial Services – In December, the firm was fined $4.5 Million for anti-money laundering deficiencies in regards to foreign currency wires. [read post]
9 Jan 2019, 7:25 am
Thereafter, in October 2017 Muran was then terminated by UBS Financial Services, Inc. [read post]
3 Jan 2019, 5:48 am
According to FINRA Disciplinary actions for December 2018, 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 Albin, William Waddell & Reed Metlife Securities Inc Allen, David Avenir Financial Group Gunnallen Financial, Inc Boupon, Kean Morgan Stanley Merrill Lynch, Pierce, Fenner… [read post]
