Search for: "UBS Financial Services"
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20 Feb 2008, 7:57 am
UBS has decided that it simply will not buy such securities at all. [read post]
29 Jul 2011, 11:25 am
” Update: The University of Baltimore released an updated statement about the resignation, which reads: “The University of Baltimore appreciates Phil Closius’ service as dean of the UB School of Law. [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]
31 Dec 2010, 8:41 pm
Junior Kim, previously with UBS Financial Services in Beverly Hills, CA, was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 days in connection with changing customer telephone numbers to report inaccurate information, without the customers' knowledge or authorization. [read post]
12 Sep 2012, 11:47 am
” Bradley Birkenfeld exposed widespread tax evasion at UBS AG in a case that resulted in a $780 million fine and “an unprecedented agreement requiring UBS to turn over thousands of names of suspected American tax dodgers to the IRS. [read post]
31 Mar 2014, 1:31 pm
Swiss banking giant UBS began to do this in April, 2009. [read post]
21 Apr 2021, 7:06 am
Swiss banking giant UBS began to do this in April 2009. [read post]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., 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]
16 Jan 2012, 4:42 pm
November 2011 UBS Financial Services Inc., in Weehawken NJ was censured and fined $300,000 in connection with a finding by FINRA that the firm failed to reasonably supervise resulting in a failure to prevent improper, excessive, and unsuitable short-term trading for multiple customer accounts. [read post]
13 May 2015, 7:08 am
According to the report, some of the largest firms in the United States are falsely advertise in this fashion including Merrill Lynch, Wells Fargo, Morgan Stanley, UBS, Fidelity, Ameriprise, Allstate Financial, Berthel Fisher, and Charles Schwab. [read post]
2 Jul 2015, 7:37 am
UBS Financial Services, Inc., June 30, 2015, Jacobs, D.). [read post]
28 May 2020, 9:05 pm
This approach aligns with the Federal Council’s controversial Ordinance on the Recapitalization of UBS AG in 2008 and with the Swiss Federal Supreme Court’s equally criticized UBS and Swiss Financial Market Supervisory Authority judgment. [read post]
19 Mar 2009, 1:35 pm
O'Donnell, who has extensive experience in financial markets. [read post]
15 Jun 2019, 12:55 pm
Timothy Joseph Croak has spent 41 years in the securities industry, has been registered with UBS Financial Services Inc. in New York, NY since November 24, 2015, FINRA notes, and has also been registered with the following firms: Credit Suisse Securities LLC, New York, NY— January 17, 2003 until December 18, 2015Donaldson, Lufkin, & Jenrette Securities Corporation, Jersey City, NJ— May 22, 1990 until January 17, 2003Finally, it is important to note that,… [read post]
20 Sep 2010, 1:47 pm
In fact, the first line in the Protocol mentions clients' interest in privacy and "freedom of choice in connection with the movement of their Registered Representatives...between firms"The Protocol had three founding members - CitiGroup, Merrill Lynch and UBS Financial - and since its inception many years ago the list has exploded as firms have clearly made the decision that the benefits they can obtain from recruiting and hiring registered representatives far… [read post]
10 Apr 2021, 9:51 am
From 1992 through 2009, Greenstone was registered with UBS Financial Services, Inc. [read post]
29 Jan 2016, 7:30 am
Kennedy v Cordia (Services) LLP (Scotland), heard 19 October 2015. [read post]
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]
12 Mar 2015, 7:58 am
Rebecca Sorensen, senior vice president for wealth management at UBS Financial Services, said most of the donated funds have been placed in a trust “that will someday provide an income stream when he retires. [read post]
9 Jun 2021, 6:00 am
He noted: “no wonder the world is in a financial crisis. [read post]
