Search for: "UBS Financial Services"
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28 Nov 2016, 8:10 am
In UBS Financial Services Inc. v. [read post]
21 Nov 2016, 6:21 am
Examples include investors in a particular tax shelter or account holders at a defined financial institution: the IRS has made use of the procedure when seeking information about offshore accounts related to the UBS investigation, Paypal accounts, and various credit card companies. [read post]
7 Nov 2016, 2:48 pm
According to FINRA, UBS Financial Services Inc. has been ordered to pay an arbitration award of close to $1 million to an investor who sued the firm over losses stemming from investments in UBS Puerto Rico closed-end bond funds. [read post]
17 Oct 2016, 8:33 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC has fined UBS Financial Services over $15 million because of its failure from 2011 to 2014 to educate and train retail brokers on the sale of almost $11 billion of complex structured products.UBS gave brokers inadequate information on the potential risks to its brokers involving the sale of complex single-stock linked reverse convertible notes (RCNs) to 44,000 customer accounts. [read post]
14 Oct 2016, 7:02 am
According to FINRA Broker Check, Howell was registered with UBS Financial Services in Chesterfield, MO from 09/2002 – 11/2014. [read post]
13 Oct 2016, 6:27 am
From the Desk of Jim Eccleston at Eccleston Law LLC:In 2015, wirehouse firms such as UBS Financial, Merrill Lynch, Wells Fargo Advisors and Morgan Stanley, incurred a net loss of 312 reps. [read post]
29 Sep 2016, 12:38 pm
UBS Financial Services paid more than $15 million to settle Securities and Exchange Commission charges that it improperly sold risky, complex products to investors, the agency announced on Wednesday. [read post]
28 Sep 2016, 8:17 am
The Securities and Exchange Commission today announced that UBS Financial Services has agreed to pay more than $15 million to settle charges that it failed to adequately educate and train its sales force about critical aspects of certain complex financial products it sold to retail investors. [read post]
21 Sep 2016, 7:07 am
From 1992 through January 2011 Salem was registered with UBS Financial Services, Inc. [read post]
21 Sep 2016, 7:07 am
From 1992 through January 2011 Salem was registered with UBS Financial Services, Inc. [read post]
20 Sep 2016, 11:25 am
From 2001 until March 2012 Beck was registered with UBS Financial Services, Inc (UBS). [read post]
20 Sep 2016, 11:25 am
From 2001 until March 2012 Beck was registered with UBS Financial Services, Inc (UBS). [read post]
17 Sep 2016, 7:59 am
According to FINRA, from April 2011 through October 2012, while Walji was associated with UBS Financial Services, Inc (UBS), Walji participated in two outside business activities (OBAs) and participated in six private securities transactions without providing prior written notice of the OBAs or the private securities transactions to his firm. [read post]
6 Sep 2016, 7:53 am
Customers have recently filed about five complaints with the Financial Industry Regulatory Authority’s (FINRA) against broker Bradley Ross (Ross), a registered representative with UBS Financial Services Inc. [read post]
18 Aug 2016, 2:54 pm
Just this month, UBS Financial Services, Inc. submitted a Letter of Acceptance, Waiver and Consent No. 2013038351701 (AWC) that detailed a $250,000 fine for failures in supervision regarding sales of mutual fund shares to investors. [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]
2 Aug 2016, 2:38 pm
Crafton to invest conservatively, but since 2006 Terry alleges to have lost about $2.4 million.Mike SweeneyThe 5-time MLB All Star sued his former adviser, Ralph A Jackson III, and his firm, UBS Financial Services, for $7.6 million. [read post]
26 Jul 2016, 2:38 pm
Syslo is currently employed by UBS Financial Services, Inc. [read post]
12 Jul 2016, 10:23 am
” In fact, many of the entities and individuals listed in the complaint are designated terrorist organizations or individuals, including a number of organizations that were designated because of their financial support to Hamas. [read post]
2 Jun 2016, 5:23 am
American Pension Services, Inc., and Curtis L. [read post]
