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30 Oct 2013, 5:58 am by D. Daxton White
The White Law Group continues to investigate potential claims against UBS Financial Services, Inc. of Puerto Rico. [read post]
20 Oct 2013, 4:33 pm by D. Daxton White
  In 2012, the SEC charged UBS Financial Services Inc. of Puerto Rico and two executives with making misleading statements to investors, concealing a liquidity crisis, and masking its control of the secondary market for 23 proprietary closed-end mutual funds. [read post]
15 Oct 2013, 2:29 pm by Jay Salamon
This article was originally posted on Stock Market LossThe UBS Puerto Rico family of funds consists of 14 closed-end funds, sold exclusively through registered representatives and brokers with UBS Financial Services Inc. of Puerto Rico. [read post]
9 Oct 2013, 1:32 pm by Mark Astarita
 The UBS Puerto Rico family of funds consists of 14 such closed-end funds, sold exclusively through brokers with UBS Financial Services Inc. of Puerto Rico. [read post]
3 Oct 2013, 7:10 am by Adam Gana
” According to the Caribbean News, the statement of claim names: “UBS Financial Services Inc.; UBS Bank USA; UBS financial consultants and investment executives José M. [read post]
26 Aug 2013, 1:22 pm by Amy Howe
  Shortly before its summer recess, the Court granted certiorari in UBS Financial Services Inc. v. [read post]
11 Jul 2013, 7:25 am by D. Daxton White
, LPL Financial LLC, Commonwealth Financial Network, MML Investor Services LLC, Investors Capital Corp., Signator Investors Inc., Meyers Associates LP, and WFG Investments Inc. [read post]
25 Jun 2013, 8:05 pm by John Elwood
Bay Mills Indian Community, 12-515, the Indian Gaming Regulatory Act case relisted for the first time last week, in which the Solicitor General had recommended a denial; UBS Financial Services Inc. of Puerto Rico v. [read post]
7 May 2013, 6:34 am by admin
  Other defendant banks include Bank of America, Deutsche Bank, UBS, Morgan Stanley, Barclays, BNP Paribas, Credit Suisse and RBS. [read post]
29 Apr 2013, 4:11 am
 In the Matter of the FINRA Arbitration Between UBS Financial Services, Inc., Claimant/Counter-Respondent, vs. [read post]
22 Apr 2013, 2:43 pm by Fraud Fighters
In return for information on his former employer UBS (one of the largest banks in Switzerland), Bradley Birkenfeld was awarded a $104 million service award. [read post]
28 Jan 2013, 6:15 am by D. Daxton White
Last May, Finra ordered broker-dealers of four major banks, Wells Fargo & Co., Citigroup Global Markets Inc., Morgan Stanley and UBS Financial Services Inc., to pay $9.1 million in fines and restitution for selling such funds “without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]