Search for: "UBS Financial Services"
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23 Jun 2012, 3:28 pm
A Financial Industry Arbitration panel has decided that ex-UBS Financial Services broker Pericles Gregoriou can keep $1 million of the signing bonus he was given when he joined the financial firm even though he left the company earlier than what the terms of the hiring agreement stipulated. [read post]
20 Jun 2012, 7:00 am
Erin Correale is a Director and Associate General Counsel at UBS Financial Services Inc., in the UBS Wealth Management Americas business division. [read post]
18 Jun 2012, 11:42 am
Teers was a stockbroker employed by Tri-Star Financial Services in Houston. [read post]
17 Jun 2012, 7:36 am
” They have complementary missions of teaching, research, and public service. [read post]
17 Jun 2012, 7:32 am
” They have complementary missions of teaching, research, and public service. [read post]
11 Jun 2012, 1:53 pm
The School is conveniently based in the global financial centre of London, and works closely with organisations such as Credit Suisse, Deloitte, Deutsche Bank, Goldman Sachs, Standard Chartered and UBS. [read post]
23 May 2012, 9:50 pm
Investment fraud lawyers are investigating potential claims on behalf of investors who suffered losses as a result of their purchase of closed end funds between 2008 and 2009 from UBS Puerto Rico, a UBS Financial Services subsidiary. [read post]
15 May 2012, 10:00 pm
In connection with FINRA’s efforts, UBS Financial Services, Morgan Stanley, Wells Fargo and Citigroup Global Markets Inc. have agreed to pay $7.3 million in fines and $1.8 million in restitution, totaling $9.1 million. [read post]
12 May 2012, 4:25 am
., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these ETFs. [read post]
12 May 2012, 4:25 am
., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these ETFs. [read post]
7 May 2012, 7:32 pm
From 2005 to July 2009, Trevor Cook masterminded a Ponzi scheme that solicited investors by promising above-average returns through a foreign currency trading program known as Universal Brokerage Services ("UBS"). [read post]
7 May 2012, 2:07 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
7 May 2012, 7:09 am
., Morgan Stanley, UBS Financial Services Inc. and Wells Fargo recently agreed to pay $9.1 million to settle allegations that they sold leveraged and inverse exchange-traded funds to clients who had no business investing in the complex instruments. [read post]
5 May 2012, 11:25 am
She did however express surprise that the investors had let Credit Suisse or UBS modify their loans, and she told me that PIMCO wouldn’t let one of their servicers do that. [read post]
5 May 2012, 7:29 am
The SEC charged UBS Financial Services Inc. of Puerto Rico with making misrepresentations and omissions of material facts to numerous retail customers in Puerto Rico regarding the secondary market liquidity and pricing of UBS PR-affiliated, non-exchange-traded closed-end funds. [read post]
5 May 2012, 7:29 am
The SEC charged UBS Financial Services Inc. of Puerto Rico with making misrepresentations and omissions of material facts to numerous retail customers in Puerto Rico regarding the secondary market liquidity and pricing of UBS PR-affiliated, non-exchange-traded closed-end funds. [read post]
4 May 2012, 6:44 am
Earlier this week, leveraged and inverse ETFs took center stage when the Financial Industry Regulatory Authority (FINRA) levied $9.1 million in penalties on four major banks – Citigroup Global Markets, Morgan Stanley & Co., UBS Financial Services and Wells Fargo Advisors – for their role in selling the risky investments to retail clients who, because of their conservative risk profiles, should never have purchased them. [read post]
3 May 2012, 11:58 am
The Financial Industry Regulatory Authority (FINRA) announced that it ordered Citigroup Global Markets, Morgan Stanley, UBS Financial Services, and Wells Fargo Advisors to pay more than $9.1 million for failure to supervise and failure to have a reasonable basis for recommending selling leveraged and inverse exchange traded funds. [read post]
2 May 2012, 6:42 am
The SEC had alleged that UBS Financial Services Inc. of Puerto Rico, starting in 2008, solicited thousands of retail investors, saying a competitive and liquid secondary market contributed to their closed-end mutual funds’ performance. [read post]
2 May 2012, 6:29 am
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
