Search for: "UBS Financial Services Inc "
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9 Nov 2009, 12:00 am
A subscription to LAW.COM is needed for online access to this service. [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]
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]
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]
29 Jan 2009, 7:00 am
UBS Financial Services, Inc. [read post]
27 Nov 2018, 10:11 am
William Dumchus has also worked at the following firms: • Wells Fargo, NJ, Westfield, NJ — February 3, 2006 through April 17, 2014 • UBS Financial Services, Inc., Weehawken, NJ — December 1, 2000 through February 23, 2006 • Salomon Smith Barney, Inc., New York, NY — July 31, 1993 through December 11, 2000 • Lehman Brothers Inc., New York, NY — April 27, 1984 through July 31, 1993 • … [read post]
7 Jul 2008, 3:31 pm
According to a Boston Globe article written by Beth Healy, "State was warned on securities," UBS Financial Services Inc., JP Morgan Securities Inc., Lehman Brothers, Morgan Stanley, Bear Stearns Cos., and Merrill Lynch & Co. all knew the market was in distress. [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]
15 May 2012, 10:00 pm
In connection with FINRA’s efforts, UBS Financial Services, Morgan Stanley, Wells Fargo and Citigroup Global Markets Inc. have agreed to pay $7.3 million in fines and $1.8 million in restitution, totaling $9.1 million. [read post]
8 Nov 2021, 1:27 pm
Ricardo Uliambre Morgan Stanley Smith Barney LLC UBS Financial Services Inc. [read post]
9 Dec 2011, 7:55 am
Financial Services Authority records. [read post]
28 Jan 2013, 6:15 am
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]
7 May 2012, 7:32 pm
("Western") and NRP Financial, Inc. [read post]
25 Jan 2024, 8:35 am
(CRD#:7059), SOUTHLAKE, TX B, 04/05/2002 – 11/17/2008, UBS FINANCIAL SERVICES INC. [read post]
15 Dec 2018, 8:40 am
From June 2007 until September 2013 Hightower was registered with UBS Financial Services Inc. [read post]
24 Dec 2018, 7:31 am
Paul Murans has also worked for UBS Financial Services Inc. in Indianapolis, Indiana from March 11, 2011 until November 6, 2017 and also was registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Indianapolis, Indiana from April 11, 2003 until March 28, 2011, FINRA states. [read post]
16 Jan 2012, 4:42 pm
November 2011 UBS Financial Services Inc., in Weehawken NJ was censured and fined $300,000 in connection with a finding by FINRA that the firm failed to reasonably supervise resulting in a failure to prevent improper, excessive, and unsuitable short-term trading for multiple customer accounts. [read post]
