Search for: "UBS Financial Services Inc."
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18 Aug 2015, 6:23 am
From January 2003, until May 2007, Honingstock was registered with UBS Financial Services, Inc. [read post]
4 Aug 2015, 1:45 pm
UBS Financial Services, Inc., 2015 WL 3953348 (2d Cir. [read post]
3 Aug 2015, 6:17 am
Thereafter, from December 2009, through February 2012, Delguercio was associated with UBS Financial Services Inc. [read post]
12 Jul 2015, 5:12 pm
UBS Financial Services, Inc., July 7, 2015, Koeltl, J.). [read post]
2 Jul 2015, 7:37 am
UBS Financial Services, Inc., June 30, 2015, Jacobs, D.). [read post]
18 Jun 2015, 12:37 pm
The FINRA Complaint alleged that the day after Waszolek was named the Widow’s residual beneficiary, he resigned from UBS Financial Services, Inc. [read post]
10 Jun 2015, 9:23 am
Respondent Wright entered the securities industry in 1995 with UBS Financial Services Inc. until January 2010. [read post]
12 May 2015, 3:30 pm
Steel Corp. 90271J598 UBS Trigger Phoenix Autocallable Optimization Securities linked to United Rentals, Inc. 90271J523 UBS Trigger Phoenix Autocallable Optimization Securities linked to MGM Resorts International 90271J556 UBS Trigger Phoenix Autocallable Optimization Securities linked to Market Vectors Gold Miners ETF 90271J531 UBS Trigger Phoenix Autocallable Optimization Securities linked to Gilead Sciences Inc. 90271J549 UBS Trigger… [read post]
12 May 2015, 3:26 pm
Notably, the issuers of RCNs are generally large financial institutions, such as UBS, while the investor is typically an unsophisticated individual who is attracted by the high coupon rate and doesn’t understand the level of risk that comes with these highly complex structured investments. [read post]
1 May 2015, 1:38 pm
The Financial Industry Regulatory Authority (FINRA) accepted on April 27, 2015 a Letter of Acceptance, Waiver and Consent No. 2013037694701 (AWC) from Stuart Conley, a former broker of UBS Financial Services Inc. and Further Lane Securities, L.P. for placing discretionary trades in 21 separate accounts. [read post]
16 Apr 2015, 11:14 am
In another chapter of the continuing legal troubles facing UBS, AG and UBS Financial Services of Puerto Rico, Inc. [read post]
15 Apr 2015, 12:55 pm
Malecki Law announces the filing of a $10 million FINRA arbitration claim against UBS Financial Services, Inc. and UBS Financial Services Incorporated of Puerto Rico (collectively “UBS”) on behalf of former UBS Puerto Rico registered representatives, Jorge Bravo and Teresa Bravo (the “Bravos”). [read post]
27 Mar 2015, 7:07 am
FINRA’s findings with regard to Oriental echo the allegations made by hundreds of investors against firms such as Oriental, Popular Securities, and UBS Financial Services, Inc. [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 Feb 2015, 5:40 am
Finally from October 2011 through October 2014, Lavine was associated with UBS Financial Services, Inc. [read post]
11 Feb 2015, 3:22 pm
New evidence suggests that UBS Financial Services Inc. [read post]
6 Feb 2015, 9:07 am
Reuters reported on February 6, 2015 that UBS in Puerto Rico held a meeting during which executives of the firm, including Miguel Ferrer, then the Chairman of UBS Financial Services Inc. of Puerto Rico, threatened financial advisors to sell UBS originated Puerto Rico closed-end bond funds despite the brokers’ and their customers’ growing concerns about “low liquidity, excessive leverage, oversupply and instability. [read post]
15 Jan 2015, 7:24 am
FINRA’s findings echo the allegations made by hundreds of investors against Popular Securities and UBS Financial Services, Inc. [read post]
17 Dec 2014, 8:10 am
Prospera Financial Services, Inc. [read post]
5 Dec 2014, 10:15 am
Young”), a registered representative formerly employed by UBS Financial Services, Inc. [read post]
