Search for: "UBS Financial Services"
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22 Sep 2014, 10:37 am
In each case, public financing authorities retained financial services firms as underwriters and broker-dealers in connection with the issuance of auction rate securities (“ARS”). [read post]
5 Sep 2014, 7:42 am
Edwards & Sons from 12/2003 – 11/2007 and UBS Financial Services from 11/2007 – 04/2013. [read post]
26 Aug 2014, 8:29 am
” Zubulake didn’t get a promotion she thought she had earned at the global financial services firm UBS Warburg, filed a complaint with human resources and suddenly found herself at odds with her bosses. [read post]
9 Aug 2014, 6:41 am
The law offices of Gana LLP has recently filed securities arbitration case on behalf of an investor against UBS Financial Services, Inc. and UBS Financial Services, Inc. of Puerto Rico (UBS) involving allegations that UBS’ misleading sales tactics and inappropriate recommendations surrounding Puerto Rico bonds in the Claimant’s portfolio. [read post]
30 Jul 2014, 4:44 am
Both UBS and Deutsche Bank were named as defendants in the earlier Flash Boys securities class action lawsuit. [read post]
23 Jun 2014, 2:38 pm
According to Ramirez’s BrokerCheck he is listed as the broker of record on more than 35 customer complaints relevant to the time he was working at UBS Financial Services. [read post]
12 Jun 2014, 8:18 am
The United States hasn’t been shy about demanding records into tax and financial practices of multinational banks and corporations in the name of tax fairness. [read post]
27 May 2014, 9:06 am
In considering the Claimant’s request for expungement, the Sole FINRA Arbitrator relied, in part, upon Securities and Exchange Commission Release 2008-171, UBS Securities LLC and UBS Financial Services, Inc. [read post]
20 May 2014, 7:08 am
Treasury, $100 million to the Federal Reserve, and $715 million to the New York State Department of Financial Services. [read post]
13 May 2014, 7:38 am
” Zeng’s FINRA BrokerCheck Report indicates he worked with Morgan Stanley from 01/2001 to 06/2005, UBS Financial Services from 06/2005 to 05/2009, and Merrill Lynch from 04/2009 to 12/2011. [read post]
1 May 2014, 11:17 am
As the managing director for independent advisor services, he was responsible for overseeing almost 14,000 representatives and financial advisors. [read post]
1 May 2014, 6:40 am
Promissory Notes (often called up-front forgivable loans) are commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley Smith Barney, Banc of America Investment Services, Wells Fargo, Merrill Lynch, Ameriprise , and UBS Financial Services. [read post]
21 Apr 2014, 3:39 am
Many of the larger financial institution defendants are either self-i [read post]
31 Mar 2014, 1:31 pm
Swiss banking giant UBS began to do this in April, 2009. [read post]
7 Mar 2014, 3:22 pm
The most recent SEC investigation revealed that, although not registered with the SEC, international financial services company, Credit Suisse Group AG, has been engaging in financial transactions with U.S. customers. [read post]
27 Feb 2014, 10:47 am
According to reports, a Swiss financial adviser, Martin Lack, recently became the fourth ex-UBS AG banker to plead guilty to aiding wealthy Americans evade taxes, admitting that for 17 years he helped U.S. clients maintain secret overseas accounts. [read post]
19 Feb 2014, 6:49 am
The employee’s sexual orientation discrimination claims also survived, even though she did not tell the supervisor who decided to fire her that she was “gay” or “lesbian,” because a jury could conclude that her supervisor inferred she was a lesbian based on her comments that she had an “alternative lifestyle” and did not “date men” (Benussi v UBS Financial Services, Inc, February 13, 2014, Crotty, P). [read post]
18 Feb 2014, 12:58 pm
Puerto Rico’s financial situation is already impacting current debt holders. [read post]
13 Feb 2014, 7:57 am
In various lawsuits, UBS Financial Services is accused of failing to disclose the true nature of the risk to investors. [read post]
29 Jan 2014, 8:17 am
Holly Gardens Citizens in Action, Inc.; UBS Financial Services Inc. v. [read post]
