Search for: "UBS Financial Services Inc."
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18 Jul 2007, 5:29 pm
UBS Financial Services, Inc. will pay $23.3 million to settle charges by New York's Attorney General of "inappropriately steering" of brokerage customers into fee-based accounts. [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]
19 Apr 2007, 2:07 pm
Roberta Tse, a former financial adviser at one of UBS's flagship branches in Manhattan, sued UBS after she was put on a probationary plan in 2002 and fired eight months later.A more complete story is at Employment Law 360 UBS Ordered To Pay $3.5M In Sex Bias Case ($). [read post]
7 Mar 2007, 6:55 am
Attorney's Office says that Justin Paperny, a former account vice president at UBS Financial Services, Inc., has pleaded guilty to helping Capital Management Group founder Keith Gilabert bilk at least $2.5 million from investors. [read post]
4 Jan 2007, 6:18 am
The New York Attorney General's Office is suing UBS Financial Services, Inc. for defrauding thousands of its customers. [read post]
19 Dec 2006, 10:15 pm
That suit, filed in Manhattan state Supreme Court, accused UBS Financial Services of pushing a high-cost brokerage product on low-trading-volume customers, some of them elderly. [read post]
