Search for: "UBS Financial Services"
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16 Mar 2011, 6:00 am
Anello to three years probation for hiding assets in secret offshore UBS bank accounts, the Justice Department and the Internal Revenue Service (IRS) announced today. [read post]
30 Jan 2023, 7:13 am
According to his FINRA Broker Report, Turner was affiliated with the following firms during his career, 09/24/2021 – 02/07/2022, STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793), WACO, TX, B, 03/08/1996 – 10/12/2021, UBS FINANCIAL SERVICES INC. [read post]
23 Jul 2018, 11:53 am
At the end of June, FINRA ordered UBS Financial Services to pay $4.3 million to a family who lost money in Puerto Rico bonds. [read post]
3 Aug 2016, 2:30 pm
Margiotta was employed by UBS Financial Services Inc. from October 2008 to June 2015, and with Citigroup Global Markets Inc. from December 2003 to November 2008, as well as other prior firms. [read post]
11 Jul 2013, 7:25 am
The targeted firms are reportedly: Morgan Stanley, Merrill Lynch, UBS Securities LLC, Fidelity Brokerage Services LLC, Charles Schwab & Co. [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]
27 Sep 2019, 3:33 am
featured in today's Securities Industry Commentator: Fines UBS Financial Services Inc. $2 Million for Continued Failures Relating to Short Positions in Municipal Securities / Firm Inaccurately Represented the Tax Status of Thousands of Interest Payments to Customers; Restitution Ordered (FINRA Release)AG James Imposes $12.5 Million Penalty On Brokerage Firms For Martin Act Violations (NYAG Release)New Jersey Court Sustains Banking/Insurance Commissioners Penalties. [read post]
5 May 2022, 10:50 am
Kent Kirby, a financial advisor at UBS Financial Services, Inc., sought the expungement from CRD of five customer complaints spanning a time frame from 2002 through 2011. [read post]
12 Apr 2010, 12:57 pm
It is also the office that will decide on financial rewards for whistleblowers. [read post]
7 Oct 2009, 2:50 pm
Morbach previously worked as Vice President-Investments at UBS Financial Services Inc. [read post]
29 Jul 2011, 8:49 am
This has certainly been true of WNED in the past-- it is one of the chief reasons that WNED was in financial trouble a dozen or so years ago. [read post]
7 Mar 2007, 6:55 am
Attorney's Office says that Justin Paperny, a former account vice president at UBS Financial Services, Inc., has pleaded guilty to helping Capital Management Group founder Keith Gilabert bilk at least $2.5 million from investors. [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]
20 Aug 2018, 1:12 pm
Incorporated (CRD #8209) and UBS Financial Services Inc. [read post]
19 Jan 2012, 2:03 pm
Read the SEC's Order Against UBS (PDF) More Blog Posts: SIFMA Wants FINRA to Take Tougher Actions Against Brokers that Don’t Repay Promissory Notes, Institutional Investor Securities Blog, January 17, 2012 Raymond James Financial to Buy Morgan Keegan from Regions Financial for $930 Million, Institutional Investor Securities Blog, January 14, 2012 $78M Insider Trading Scam: "Operation Perfect Hedge” Leads to Criminal Charges for Seven… [read post]
22 May 2019, 10:16 am
These firms include UBS Financial Services, Merrill Lynch, Credit Suisse, and Morgan Stanley. [read post]
20 Jul 2009, 4:48 pm
Wolf is, along with the world's most evil man, George Soros, one of Obama's two top financial backers. [read post]
3 Apr 2020, 11:19 am
The unsubordinated, unsecured debt obligations issued by UBS AG are linked to the Market Vectors Oil Services ETF. [read post]
25 Feb 2010, 2:27 pm
Since August 2008, Cuomo has gotten 12 financial service firms to agree to repurchase $61 billion of ARS at par. [read post]
31 Jul 2012, 8:44 am
The Roberts were also ordered to pay restitution to the Internal Revenue Service (IRS) in the amount of $709,675, and to pay more than $2.5 million to resolve their civil liability with the IRS for failing to file the required Reports of Foreign Bank and Financial Reports (FBARs). [read post]
