Search for: "UBS Financial Services"
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24 Nov 2015, 9:30 pm
The FCA expanded its authority to regulate precious metals fixes directly earlier this year, mirroring regulatory reforms the Financial Services Authority implemented following the LIBOR scandal. [read post]
23 Nov 2015, 6:13 am
From October 2007, until November 2014, Hughes was associated with UBS Financial Services Inc. [read post]
11 Nov 2015, 12:30 pm
According to Tinoco’s FINRA Broker Report, he was registered with UBS International from 05/2005 – 01/2010, with UBS Financial Services from 01/2010 – 03/2011 and with Barclays Capital from 03/2011 – 07/2013. [read post]
3 Nov 2015, 7:21 am
” The attorneys at Lax & Neville LLP have extensive experience in the financial services industry. [read post]
26 Oct 2015, 8:05 am
We represent investors, financial professionals and investment firms, nationwide. [read post]
26 Oct 2015, 7:16 am
For instance in 2001, UBS Financial Services Inc. [read post]
16 Oct 2015, 5:53 am
From the Desk of Jim Eccleston at Eccleston Law LLC:UBS Financial Services of Puerto Rico was hit with a $34 million fine to settle charges brought by the SEC and FINRA. [read post]
2 Oct 2015, 2:15 pm
– $100,000 PNC Capital Markets LLC – $500,000 Prager & Co., LLC – $100,000 Ross, Sinclaire & Associates, LLC – $220,000 UBS Financial Services, Inc. [read post]
29 Sep 2015, 2:47 pm
The Securities and Exchange Commission settled charges against UBS Financial Services of Puerto Rico for failing to supervise former broker, Jose Ramirez Jr. who allegedly had customers invest in funds using money borrowed from a UBS Puerto Rico affiliated bank. [read post]
11 Sep 2015, 9:21 am
When that service provider alters its policies, such changes may have compliance and regulatory impact. [read post]
8 Sep 2015, 8:07 am
In another blog post, Malecki Law cited fines against Citigroup Global Markets, Inc., Morgan Stanley & Co, LLC, UBS Financial Services, and Wells Fargo Advisors, LLC for permitting recommendations of inverse and leveraged ETFs without proper supervision. [read post]
3 Sep 2015, 8:35 am
A FINRA arbitration panel ordered UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services Inc. [read post]
3 Sep 2015, 7:00 am
A FINRA arbitration panel in San Juan found UBS Financial Services, Inc., and UBS Financial Services Inc. of Puerto Rico liable to Juan Burgos Rosado. [read post]
2 Sep 2015, 3:13 pm
Ira and Carole Cohen/UBS Financial Services Kern Law Enforcement Association Hall Ambulance Service Incorporated Local media is also supporting the cause and helping raise awareness. [read post]
2 Sep 2015, 1:59 pm
According to Investment News, Gonzales and Gomez were part of a $10 million group claim Filed against UBS Financial Services of Puerto Rico. [read post]
28 Aug 2015, 8:15 am
Maxine Waters (D-Cal), the ranking member of the House Financial Services Committee, wrote to White earlier this year asking the agency to improve the public transparency of its waiver process. [read post]
18 Aug 2015, 6:23 am
From January 2003, until May 2007, Honingstock was registered with UBS Financial Services, Inc. [read post]
4 Aug 2015, 1:45 pm
UBS Financial Services, Inc., 2015 WL 3953348 (2d Cir. [read post]
3 Aug 2015, 6:17 am
Thereafter, from December 2009, through February 2012, Delguercio was associated with UBS Financial Services Inc. [read post]
12 Jul 2015, 5:12 pm
UBS Financial Services, Inc., July 7, 2015, Koeltl, J.). [read post]
