Search for: "UBS Ag"
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30 Mar 2020, 6:36 am
Financial professionals and brokerage firms have a duty to recommend only investments that are appropriate for the client based on the client’s age, investment experience, net worth, and investment objectives. [read post]
27 Mar 2020, 6:51 am
Financial advisors, though, are required to recommend only those investments that are suitable for an investor in light of that investor’s age, net worth, income, investment experience, and investment objectives. [read post]
20 Mar 2020, 8:00 am
Many companies like UBS Group AG (“UBS”), a Swiss bank, responded to the news by announcing attempts to seek full ownership of their joint ventures once the ownership caps are eliminated. [read post]
6 Mar 2020, 1:58 pm
They must ensure that all recommendations made are suitable in light of the client’s age, investment experience, net worth, income, and investment objectives. [read post]
17 Feb 2020, 4:59 am
The University complies with all applicable laws regarding equal opportunity and affirmative action and does not unlawfully discriminate against any employee or applicant for employment based upon race, color, gender, sex, pregnancy, sexual orientation, gender identity or expression, religion, citizenship, national origin, age, disability, veteran status, or genetic information. [read post]
31 Jan 2020, 3:12 pm
Winning Is The Easy Part: Now UBS needs to get its money. [read post]
13 Jan 2020, 11:43 am
Davis wrote about the conviction of UBS AG and its French subsidiary in France in the context of France’s relative lack of success in prosecuting corporations involved in multinational crimes. [read post]
13 Jan 2020, 11:43 am
Davis wrote about the conviction of UBS AG and its French subsidiary in France in the context of France’s relative lack of success in prosecuting corporations involved in multinational crimes. [read post]
3 Jan 2020, 1:37 pm
In April, 2019, a customer alleged that Barrios invested her in stocks that were too risky for someone her age, that he took her money and traded it outside of UBS, and that she did not authorize stock trades. [read post]
26 Nov 2019, 6:50 am
According to FINRA Disciplinary actions for October 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bender, Charles Suntrust Investment Services, Inc JP Morgan Securities Bingham, Daniel Essex Securities Investors Capital Corp Devaney, Patrick… [read post]
13 Nov 2019, 12:58 pm
UBS Group Fined $51M By Hong Kong Securities Regulator The Hong Kong Securities and Futures Commission (SFC) is ordering UBS Group AG (UBS) to pay a $51M fine for overcharging clients between 2008 and 2017. [read post]
1 Nov 2019, 12:01 pm
All Texas bar exam candidates will view this lecture to learn how the Texas law of intestacy, wills, trusts, and estate administration differs from the generic law in these areas as tested on the UBE. 8. [read post]
20 Oct 2019, 12:48 pm
(The subtitle of his book is “Whistleblowing in the Age of Fraud. [read post]
16 Oct 2019, 9:30 pm
From Sacred Texts to Social RegulationDefending Jewish Judicial Autonomy in the Islamic Middle Ages - Mark R. [read post]
2 Oct 2019, 6:00 am
Medals and trophies were awarded to the fastest runners in their respective age categories, with results being posted on the Bakersfield Track Club website. [read post]
27 Sep 2019, 3:33 am
featured in today's Securities Industry Commentator: Fines UBS Financial Services Inc. $2 Million for Continued Failures Relating to Short Positions in Municipal Securities / Firm Inaccurately Represented the Tax Status of Thousands of Interest Payments to Customers; Restitution Ordered (FINRA Release)AG James Imposes $12.5 Million Penalty On Brokerage Firms For Martin Act Violations (NYAG Release)New Jersey Court Sustains Banking/Insurance Commissioners Penalties. [read post]
20 Sep 2019, 11:22 am
November 2008 to August 2013, Konecny was registered with UBS Financial Services Inc. [read post]
27 Aug 2019, 10:39 am
Recommendations should be in line with the investor’s age, risk tolerance, net worth, and investment experience. [read post]
20 Aug 2019, 3:05 pm
(formerly UBS PaineWebber (“PW”)) and UBS Securities LLC (formerly UBS Warburg LLC (“Warburg”)), both of which were separate legal entities and subsidiaries of UBS AG during the relevant period. [read post]
6 Aug 2019, 11:00 pm
They are 67 years old, so pretty average retirement age. [read post]
