Search for: "UBS Financial Services Inc "
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13 Nov 2014, 12:01 pm
Morgan Securities, Lebenthal & Co., National Securities Corporation, Oppenheimer & Co., Riedl First Securities Co. of Kansas, Stifel Nicolaus & Co., TD Ameritrade, UBS Financial Services, and Wedbush Securities. [read post]
5 Nov 2014, 2:56 pm
– $60,000 TD Ameritrade – $100,800 UBS Financial Services – $56,400 Wedbush Securities Inc. [read post]
4 Nov 2014, 7:10 am
Morgan Securities, Lebenthal & Co., National Securities Corporation, Oppenheimer & Co., Riedl First Securities Co. of Kansas, Stifel Nicolaus & Co., TD Ameritrade, UBS Financial Services, and Wedbush Securities.For more information, see the SEC press release and order -SEC Sanctions 13 Firms for Improper Sales of Puerto Rico Junk Bonds - or call our office if you have been an investor in Puerto Rico municipal bonds. [read post]
17 Oct 2014, 10:12 am
Lax & Neville LLP is investigating claims on behalf of investors regarding possible sales practice abuses in connection with UBS Financial Services Inc. [read post]
17 Oct 2014, 7:07 am
According to InvestmentNews, UBS Financial Services Inc. of Puerto Rico has agreed to pay $1.7 million to investors to settle allegations that some investors were placed into unsuitable closed-end bond funds. [read post]
22 Sep 2014, 10:37 am
Inc. v. [read post]
19 Aug 2014, 1:00 pm
Edwards & Sons Inc., which is now part of Wells Fargo & Co., in 2003, and then joined UBS in 2007. [read post]
9 Aug 2014, 6:41 am
The law offices of Gana LLP has recently filed securities arbitration case on behalf of an investor against UBS Financial Services, Inc. and UBS Financial Services, Inc. of Puerto Rico (UBS) involving allegations that UBS’ misleading sales tactics and inappropriate recommendations surrounding Puerto Rico bonds in the Claimant’s portfolio. [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]
1 May 2014, 6:40 am
Promissory Notes (often called up-front forgivable loans) are commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley Smith Barney, Banc of America Investment Services, Wells Fargo, Merrill Lynch, Ameriprise , and UBS Financial Services. [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]
19 Feb 2014, 6:49 am
The employee’s sexual orientation discrimination claims also survived, even though she did not tell the supervisor who decided to fire her that she was “gay” or “lesbian,” because a jury could conclude that her supervisor inferred she was a lesbian based on her comments that she had an “alternative lifestyle” and did not “date men” (Benussi v UBS Financial Services, Inc, February 13, 2014, Crotty, P). [read post]
18 Feb 2014, 12:58 pm
Puerto Rico’s financial situation is already impacting current debt holders. [read post]
13 Feb 2014, 7:57 am
In various lawsuits, UBS Financial Services is accused of failing to disclose the true nature of the risk to investors. [read post]
29 Jan 2014, 8:17 am
Holly Gardens Citizens in Action, Inc.; UBS Financial Services Inc. v. [read post]
15 Jan 2014, 12:11 am
The global financial services industry is still reeling from the regulatory investigations surrounding the Libor scandal. [read post]
19 Dec 2013, 7:04 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2011, Claimant UBS Financial Services Inc. alleged a breach of promissory note by Respondent Atlas and sought $497,844.23 in compensatory dam... [read post]
13 Dec 2013, 5:40 am
Moody’s Investor Services Inc. has apparently become the second of the three major ratings agencies to put Puerto Rico general obligation municipal bonds and related securities officially on watch for a downgrade to below-investment grade. [read post]
3 Dec 2013, 7:00 am
According to court filings, Hulse was a director of H&H Worldwide Financial Service, Inc., Paul Hulse, Jr. was H&H’s president, Steven P. [read post]
21 Nov 2013, 8:02 am
From June 2005 until May 2009, Zeng was associated with UBS Financial Services, Inc. [read post]
