Search for: "UBS Financial Services"
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24 Jan 2022, 2:27 am
FINRA Fines and Suspends Rep Over Undisclosed Elderly Widow's Will Bequest (BrokeAndBroker.com Blog)Former UBS Financial Advisor Charged with Defrauding over $5 Million Dollars from His UBS Clients (DOJ Release)Former Financial Advisor Charged with Stealing $5.8 Million from Client (SEC Release) Texas Man Sentenced for Investment Fraud Scheme (DOJ Release)Arizona Man Pleads Guilty to Role in Investment Fraud Scheme (DOJ Release)Las Vegas Woman Sentenced… [read post]
6 Dec 2019, 12:39 am
UBS Financial Services Inc., Respondent (FINRA Arbitration Decision)Federal Court Does Not Condone E*Trade's Onboarding Sloppiness But Keeps Injunction Against Former Rep in Place. [read post]
27 May 2014, 9:06 am
In considering the Claimant’s request for expungement, the Sole FINRA Arbitrator relied, in part, upon Securities and Exchange Commission Release 2008-171, UBS Securities LLC and UBS Financial Services, Inc. [read post]
25 Feb 2016, 8:59 am
The Internal Revenue Service awarded Mr. [read post]
23 Sep 2011, 9:55 am
See UBS Financial Services Inc. [...] [read post]
21 May 2020, 8:48 am
One Customer Alleges UBS Financial Services Broker William Shreve Misrepresented the Suitability of an Invest-in-and-Hold Options Overlay Strategy William Shreve’s Financial Industry Regulatory Authority, Inc. [read post]
21 May 2020, 8:48 am
One Customer Alleges UBS Financial Services Broker William Shreve Misrepresented the Suitability of an Invest-in-and-Hold Options Overlay Strategy William Shreve’s Financial Industry Regulatory Authority, Inc. [read post]
27 Nov 2018, 5:36 am
In February 2018 Kujawski was terminated by UBS Financial Services, Inc. [read post]
25 Jul 2008, 7:18 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]
9 Jul 2017, 8:41 am
Ronald Broadstone, a registered representative from Columbus, Ohio, formerly with UBS Financial Services was barred from FINRA membership as a result of failing to cooperate with a FINRA investigation. [read post]
26 Oct 2015, 8:05 am
We represent investors, financial professionals and investment firms, nationwide. [read post]
29 Jan 2013, 6:03 am
The case is UBS Financial Services v. [read post]
22 Sep 2018, 10:41 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Alex Herrera (Herrera), formerly associated with UBS Financial Services Inc. [read post]
20 Dec 2012, 12:35 am
Financial Services Authority, as discussed in the FSA’s December 19, 2012 Final Notice (refer here); an agreement with the Swiss securities authority, FINMA, to pay a fine of about $64.3 million, as discussed in FINMA’s December 19, 2012 Press Release (here). [read post]
3 Mar 2021, 6:16 pm
For financial enterprises, that means with respect to its lending, its offer of financial services, or more generally its services for a fee. [read post]
11 Jan 2010, 8:32 am
Department of Justice and Internal Revenue Service following an order issued by the Swiss Financial Market Supervisory Authority (“Finma”) pursuant to an agreement Finma reached with the U.S. authorities.In its decision, dated January 5, the Court found that Finma overstepped its legal authority in ordering the data transfer. [read post]
11 Jul 2008, 7:39 pm
" E-mails released in the Massachusetts action against UBS also show that financial advisers were paid a marketing fee from the periodic auctions. [read post]
27 Feb 2014, 10:47 am
According to reports, a Swiss financial adviser, Martin Lack, recently became the fourth ex-UBS AG banker to plead guilty to aiding wealthy Americans evade taxes, admitting that for 17 years he helped U.S. clients maintain secret overseas accounts. [read post]
5 Sep 2018, 1:23 pm
His previous employers include 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]
