Search for: "UBS Financial Services Inc "
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7 May 2012, 7:32 pm
("Western") and NRP Financial, Inc. [read post]
7 May 2012, 2:07 pm
FINRA recently has announced that it has sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
7 May 2012, 7:09 am
Citigroup Global Markets Inc., Morgan Stanley, UBS Financial Services Inc. and Wells Fargo recently agreed to pay $9.1 million to settle allegations that they sold leveraged and inverse exchange-traded funds to clients who had no business investing in the complex instruments. [read post]
5 May 2012, 7:29 am
The SEC charged UBS Financial Services Inc. of Puerto Rico with making misrepresentations and omissions of material facts to numerous retail customers in Puerto Rico regarding the secondary market liquidity and pricing of UBS PR-affiliated, non-exchange-traded closed-end funds. [read post]
5 May 2012, 7:29 am
The SEC charged UBS Financial Services Inc. of Puerto Rico with making misrepresentations and omissions of material facts to numerous retail customers in Puerto Rico regarding the secondary market liquidity and pricing of UBS PR-affiliated, non-exchange-traded closed-end funds. [read post]
2 May 2012, 6:42 am
The SEC had alleged that UBS Financial Services Inc. of Puerto Rico, starting in 2008, solicited thousands of retail investors, saying a competitive and liquid secondary market contributed to their closed-end mutual funds’ performance. [read post]
2 May 2012, 6:29 am
FINRA announced that it has fined Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
2 May 2012, 6:14 am
("Citigroup"), Morgan Stanley, UBS Financial Services, Inc. [read post]
1 May 2012, 2:34 pm
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]
1 May 2012, 2:22 pm
FINRA announced that it sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision... [read post]
19 Mar 2012, 9:13 am
UBS Financial Services, Inc. [read post]
26 Feb 2012, 5:12 am
DLA Piper Google Inc. [read post]
26 Feb 2012, 4:48 am
DLA Piper Google Inc. [read post]
26 Feb 2012, 4:27 am
DLA Piper Google Inc. [read post]
15 Feb 2012, 2:40 pm
” Japan On December 16, 2011, Japan’s Financial Services Agency announced administrative actions against UBS Securities Japan Ltd. [read post]
13 Feb 2012, 3:40 pm
” Japan On December 16, 2011, Japan’s Financial Services Agency announced administrative actions against UBS Securities Japan Ltd. [read post]
3 Feb 2012, 5:59 am
UBS Financial Services, Inc. [read post]
1 Feb 2012, 7:58 am
He also serviced others at UBS and a Panamanian bank. [read post]
24 Jan 2012, 3:10 am
UBS Financial Services, Inc. filed a lawsuit this week in U.S. federal court against Anthony Ostlund Baer & Louwagie, P.A. claiming that, contrary to applicable ethical standards of professional conduct, AOBL, having represented USBFS is now suing USBFS in a “substantially … Continue reading ? [read post]
20 Jan 2012, 1:26 pm
It includes Dell Inc., Qwest Communications, Citigroup, UBS Financial Services, Johnson & Johnson, JP Morgan, Deloitte and Touché, and General Electric Company. [read post]
