Search for: "UBS Financial Services"
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11 Apr 2011, 12:41 pm
The Financial Regulatory Authority (FINRA) announced today that it has fined UBS Financial Services, Inc. $2.5 million, and ordered UBS to pay $8.25 million in restitution for omissions and statements regarding the “principal protection” feature of the 100% Principal-Protected Notes (PPNs) issued by Lehman Brothers Holdings Inc. prior to its September 2008 bankruptcy filing. [read post]
11 Apr 2011, 11:37 am
FINRA announced that it fined UBS Financial Services, Inc., $2.5 million, and required UBS to pay $8.25 million in restitution for omissions and statements made that effectively misled investors regarding the "principal protection" feature of 100% Principal-Protection Notes (PPNs) Lehman... [read post]
11 Apr 2011, 10:50 am
The attorneys at Eccleston Law are actively seeking investors who have suffered losses in Lehman Principal Protected Notes sold by UBS Financial Services, Inc. [read post]
11 Apr 2011, 9:13 am
FINRA announced today that it has sanctioned UBS Financial Services for sales practice issues relating to sales of Lehman-issued PPNS (principal protection notes). [read post]
6 Apr 2011, 9:58 am
The underwriters are believed to have been involved in underwriting the Puerto Rico Conservation Trust Fund Secured Notes 5.90% are: UBS Financial Services, Inc. of Puerto Rico; R-G Investments, Corp.; Santander Securities Corp.; and Popular Securities. [read post]
29 Mar 2011, 6:15 am
Hawkins used his deteriorating financial situation to seek a reduction in child support he owed his first wife. [read post]
21 Mar 2011, 9:54 am
The Internal Revenue Service alleged unpaid taxes ranged from $3,400 to more than $21,000 per year. [read post]
20 Mar 2011, 12:44 pm
In the event that UBS WMA fails to comply with the requirements of the EU or an independent expert determines that UBS WMA has failed to complete the remediation program, and such failures are significant, ASIC will assess whether it should take action to vary the conditions of UBS WMA’s Australian financial services licence (AFS licence). [read post]
16 Mar 2011, 6:00 am
Anello to three years probation for hiding assets in secret offshore UBS bank accounts, the Justice Department and the Internal Revenue Service (IRS) announced today. [read post]
14 Mar 2011, 10:07 am
We must request detail bills, or HICFA/UB 92 billing statements and we must always keep our insurance information confidential. [read post]
7 Mar 2011, 12:17 pm
Securities America is owned by Ameriprise Financial Services, which reported a profit of $1.1 billion in 2010 on revenue of nearly $10 billion. [read post]
6 Mar 2011, 1:52 pm
Kobayashi's alleged scheme began in 2004, while he was an adviser at UBS Financial Services, Inc., when he convinced several clients to invest in a pooled fund that was used to make viatical investments. [read post]
4 Mar 2011, 6:58 am
Kobayashi, a former financial adviser at UBS Financial Services LLC, with misappropriating $3.3 million in a scheme that included bilking investors in a private investment fund he established. [read post]
3 Mar 2011, 3:52 pm
The attorneys at Eccleston Law are actively seeking victims of the fraud perpetuated by former UBS Financial Services, LLC adviser Steven T. [read post]
3 Mar 2011, 9:14 am
Kobayashi, a financial advisor working in the Walnut Creek, California, office of UBS Financial Services LLC. [read post]
17 Feb 2011, 9:27 am
Participation in the program was encouraged by news reports that a giant Swiss bank, UBS AG had begun to turn over records to the US Treasury that would uncover many secret accounts held by US citizens. [read post]
15 Feb 2011, 4:17 pm
In May 2008, Barker was told that the financial firm was letting her go due to a general reduction in UBS’ workforce. [read post]
11 Feb 2011, 7:52 am
Under the terms of the settlement, UBS Securities LLC and UBS Financial Services, Inc. have agreed to offer the repurchase of $1.5 billion in ARS sold to retail investors in New Jersey. [read post]
10 Feb 2011, 11:56 am
In July 2009, CAlPERS sued Standard & Poor’s, Moody’s Investors Services Inc., and Fitch Inc. [read post]
18 Jan 2011, 6:25 am
Speakers include: Kenneth Crowley, Executive Director of UBS Financial Services Inc., Weehawken, NJ. [read post]
