Search for: "UBS Financial Services"
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11 Feb 2015, 3:22 pm
New evidence suggests that UBS Financial Services Inc. [read post]
11 Feb 2015, 7:32 am
The settlements, entered into with the CFTC, DOJ, UK Financial Services Authority, and European Commission, resulted in over $2 billion in fines, as well as key admissions of wrongdoing. [read post]
6 Feb 2015, 9:07 am
Reuters reported on February 6, 2015 that UBS in Puerto Rico held a meeting during which executives of the firm, including Miguel Ferrer, then the Chairman of UBS Financial Services Inc. of Puerto Rico, threatened financial advisors to sell UBS originated Puerto Rico closed-end bond funds despite the brokers’ and their customers’ growing concerns about “low liquidity, excessive leverage, oversupply and instability. [read post]
29 Jan 2015, 6:00 am
Trust beneficiaries have brought suit against UBS Financial Services alleging that the company mismanaged trust funds, which was a breach of fiduciary duty. [read post]
15 Jan 2015, 7:24 am
FINRA’s findings echo the allegations made by hundreds of investors against Popular Securities and UBS Financial Services, Inc. [read post]
18 Dec 2014, 9:29 am
If your financial advisor bet big on an Energy Sector ETFs and you suffered substantial losses, you may have a claim to recover your losses through FINRA arbitration. [read post]
17 Dec 2014, 8:10 am
Prospera Financial Services, Inc. [read post]
10 Dec 2014, 2:15 pm
Internet service providers have consistently told the government that utility regulation of broadband would harm infrastructure investment. [read post]
5 Dec 2014, 10:15 am
Young”), a registered representative formerly employed by UBS Financial Services, Inc. [read post]
4 Dec 2014, 9:02 pm
En la segunda demanda se establece que “el 9 de octubre de 2014, la Oficina del Comisionado de Instituciones Financieras (OCIF), circuló a los medios y al público en general, un Comunicado de Prensa, tanto español como en inglés, anunciando que OCIF había llegado a un acuerdo mediante el cual UBS Financial Services (UBS), se comprometía a pagar $3,500,000 y ofrecía restituir $1,681,742 a ciertos clientes,… [read post]
4 Dec 2014, 1:00 pm
Event: HFA Annual Holiday Party Location: New York, NY Date: December 11, 2014 Sponsor: Infovest 21 Event: Finding & Evaluating Co-Investing Opportunities Location: New York, NY **** Cole-Frieman & Mallon provides legal services for hedge fund managers and other groups within the investment management industry. [read post]
21 Nov 2014, 1:02 pm
Treasury, $100 million to the Federal Reserve, and $715 million to the New York State Department of Financial Services. [read post]
17 Nov 2014, 5:00 am
Kessenich previously served as a financial adviser at UBS Financial Services and worked in private equity as a vice president at Townsend Capital and an associate ... [read post]
10 Nov 2014, 10:37 am
On October 9, 2014, Puerto Rico’s Office of the Commissioner of Financial Institutions (OCFI) has settled its claims with UBS Financial Services Incorporated of Puerto Rico and agreed to the payment and restitution of $1,681,556 to certain clients and anther $3,500,000 to the Investor Education and Investigation Fund. [read post]
6 Nov 2014, 11:08 am
On October 9, 2014, Puerto Rico’s Office of the Commissioner of Financial Institutions (OCFI) has settled its claims with UBS Financial Services Incorporated of Puerto Rico (UBS Puerto Rico) over UBS’s sale of closed-end mutual funds in Puerto Rico. [read post]
5 Nov 2014, 2:56 pm
– $60,000 TD Ameritrade – $100,800 UBS Financial Services – $56,400 Wedbush Securities Inc. [read post]
4 Nov 2014, 7:10 am
., TD Ameritrade, UBS Financial Services, and Wedbush Securities.For more information, see the SEC press release and order -SEC Sanctions 13 Firms for Improper Sales of Puerto Rico Junk Bonds - or call our office if you have been an investor in Puerto Rico municipal bonds. [read post]
17 Oct 2014, 10:12 am
The Commission of Financial Institutions for the Commonwealth of Puerto Rico (“OCFI”) ordered UBS Financial Services Inc. of Puerto Rico (“UBS”), a division of UBS Wealth Management Americas, to pay $5,200,000 in fines and restitution in an October 9, 2014 enforcement action. [read post]
17 Oct 2014, 7:07 am
According to InvestmentNews, UBS Financial Services Inc. of Puerto Rico has agreed to pay $1.7 million to investors to settle allegations that some investors were placed into unsuitable closed-end bond funds. [read post]
23 Sep 2014, 9:16 am
While the majority of the claims were filed against UBS Financial Services of Puerto, other firms, including Merrill Lynch, Banco Popular, Santander Securities, and Oriental Financial Services have also been named as Respondents in many of the claims. [read post]
