Search for: "UBS Financial Services"
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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]
19 May 2017, 5:00 am
UBS Financial Services Inc. of Puerto Rico, Inc. [read post]
1 Jul 2019, 2:54 pm
If they use it they need to have a registration to support it and, in NY, a practice of actually providing non-insurance financial services. [read post]
21 Aug 2018, 5:20 am
Securities, LLC Robert Lee Maupin Fidelity Brokerage Services LLC Cuso Financial Services, L.P. [read post]
21 Jun 2022, 12:11 pm
(CRD:# 23131), of Old Tappan, NJ, and UBS Financial Services (CRD:# 8174 ) of Paramus, NJ. [read post]
19 Jul 2008, 2:48 pm
The Boston Globe has reported that, in addition to UBS Financial Services, other major Wall Street firms expected the failure of the auction-rate securities markets prior to the collapse in February of this year, yet failed to warn investors of the impending disaster. [read post]
18 Feb 2010, 2:00 pm
" An investigation by the Attorney General into the auction rate securities market found that UBS Securities LLC and UBS Financial Services, Inc. [read post]
15 Mar 2021, 2:27 am
Tax Expat Tax Services. [read post]
11 Jun 2015, 9:03 am
Cobas Quevedo / Centro de Periodismo Investigativo de Puerto Rico Los abogados que reclaman para sus clientes el acceso a documentos relacionados a la investigación que condujo durante seis meses la Oficina del Comisionado de Instituciones Financieras (OCIF) sobre la controversial firma UBS Financial Services en Puerto Rico solicitaron en bloque el lunes al juez Ángel Pagán Ocasio que reconsidere su negativa a la entrega total de los mismos. [read post]
6 Dec 2021, 12:36 pm
UBS Financial Services Inc. [read post]
9 May 2008, 8:02 am
Louis, MO - The law firm of Carey & Danis LLC has filed a class action lawsuit 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]
7 Jun 2024, 6:44 am
Morgan Securities LLC UBS Financial Services Inc. [read post]
28 Apr 2017, 9:48 am
According to Ronald Broadstone’s FINRA Broker Report, he was registered with UBS Financial Services in New Albany, OH from February 2007 through April 2017, when he was discharged. [read post]
18 Oct 2010, 1:33 am
The Dow Jones Newswire October 14, 2010 article about the UBS report notes that two UBS executives have returned pay from the 2007 to 2009 time frame totaling $73.7 million. [read post]
9 May 2016, 2:00 am
.; UBS Securities, L.L.C.; E*TRADE Capital Markets, L.L.C.; National Financial Services, L.L.C. had engaged in the naked short selling of Escala stock. [read post]
18 Jan 2012, 6:48 am
In an effort to curb the litigation that occurs when financial advisors move from one broker-dealer to another, in 2004 three of the largest brokerage firms (Merrill Lynch, Citigroup, and UBS Financial Services formed the Protocol for Broker Recruiting (the “Protocol”). [read post]
16 Jul 2007, 4:34 pm
Melton, lmelton@dhayeslaw.com THE HAYES LAW FIRM, www.dhayeslaw.com UBS Financial Services, Inc. has agreed to pay a $23.3 million settlement for "inappropriately steering" brokerage customers into fee-based accounts. [read post]
21 Nov 2022, 9:02 am
UBS Financial Services Inc. [read post]
28 Nov 2022, 9:02 am
UBS Financial Services Inc. [read post]
1 Feb 2021, 2:02 pm
His previous employers include Morgan Stanley Smith Barney LLC (CRD#:149777) and UBS Financial Services Inc. [read post]
