Search for: "UBS Financial Services Inc "
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5 Nov 2014, 2:56 pm
– $60,000 TD Ameritrade – $100,800 UBS Financial Services – $56,400 Wedbush Securities Inc. [read post]
7 Sep 2007, 9:46 am
In July of 2007, UBS Financial Services, Inc. agreed to pay a $23.3 million settlement for "inappropriately steering" brokerage customers into fee-based accounts. [read post]
28 Sep 2022, 12:37 pm
LLC and Morgan Stanley Smith Barney LLC; UBS Securities LLC and UBS Financial Services Inc. [read post]
27 Dec 2023, 8:45 am
UBS Financial Services Inc. [read post]
22 Sep 2021, 8:30 am
Ricardo Uliambre UBS Financial Services Inc. [read post]
28 Apr 2022, 8:28 am
John Sommo UBS Financial Services Inc. [read post]
28 Nov 2016, 9:37 am
Prior to that, he was registered with UBS Financial Services in Chesterfield, MO from 09/2011 – 08/2014. [read post]
12 Jun 2024, 1:41 pm
KOHN & COMPANY (CRD#:27913), CINCINNATI, OH, B, 11/11/2005 – 10/19/2023, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), BLOOMFIELD HILLS, MIB, 10/29/1999 – 12/02/2005, UBS FINANCIAL SERVICES INC. [read post]
30 Dec 2022, 7:14 am
Pamelia Owensby UBS Financial Services Inc. [read post]
28 Sep 2022, 8:06 am
LLC together with Morgan Stanley Smith Barney LLC; andUBS Securities LLC together with UBS Financial Services Inc.The following two firms have agreed to pay penalties of $50 million each:Jefferies LLC; andNomura Securities International, Inc.Cantor Fitzgerald & Co. has agreed to pay a $10 million penalty. [read post]
20 Mar 2020, 8:00 am
Foreign companies like UBS and Nomura Holdings, Inc., a Japanese holding company, already hold a majority stake in their ventures, while other companies are in the process of applying for a 51% stake. [read post]
29 Jun 2019, 11:48 am
Sumaya De Los Angeles Musa has been registered with UBS Financial Services Inc. in Aventura, Florida since August 10, 2007, and has also been registered with UBS Financial Services Incorporated of Puerto Rico in San Juan, Puerto Rico since August 10, 2007, FINRA reports. [read post]
18 Apr 2008, 3:52 pm
In her December 2006 opinion (via New York Law Journal), SDNY Judge Denise Cote dismissed the claims against former parent Zurich Financial Services and its underwriters UBS AG and Merrill Lynch International and certain claims against Converium Holding AG and three Converium officers, but not all. [read post]
9 Nov 2009, 12:00 am
A subscription to LAW.COM is needed for online access to this service. [read post]
16 Sep 2009, 1:32 am
A subscription to LAW.COM is needed for online access to this service. [read post]
30 Jan 2019, 12:56 pm
Towt & Assoc Wilde, Maurice Newbridge Securities Corp IFS Securities Wood, Stephen UBS Financial Services Inc Morgan Stanley Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
6 Apr 2011, 9:58 am
The underwriters are believed to have been involved in underwriting the Puerto Rico Conservation Trust Fund Secured Notes 5.90% are: UBS Financial Services, Inc. of Puerto Rico; R-G Investments, Corp.; Santander Securities Corp.; and Popular Securities. [read post]
20 Sep 2019, 11:22 am
November 2008 to August 2013, Konecny was registered with UBS Financial Services Inc. [read post]
3 Dec 2009, 9:07 pm
General Insurance, Life Insurance & Retirement Services, Financial Services and Asset Management. [read post]
31 Dec 2010, 8:41 pm
Junior Kim, previously with UBS Financial Services in Beverly Hills, CA, was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 days in connection with changing customer telephone numbers to report inaccurate information, without the customers' knowledge or authorization. [read post]
