Search for: "UBS Financial Services"
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19 Aug 2022, 9:37 am
Arive Capital Markets Robert Haas Wells Fargo Clearing Services, LLC Wells Fargo Advisors, LLC Christopher Johnson Morgan Stanley UBS Financial Services Inc. [read post]
19 Aug 2022, 8:54 am
According to FINRA Disciplinary actions for Aug 2022, 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 Teresa Gomez UBS Financial Services Inc. [read post]
8 Aug 2022, 6:34 am
Plaintiff was responsible for performing research and creating reports that went to UBS's clients about the company's products and services. [read post]
28 Jul 2022, 9:51 am
Morgan Securities LLC, UBS Financial Services Inc., and TradeStation Securities, Inc. for deficiencies in their programs to prevent customer identity theft, in violation of the SEC’s Identity Theft Red Flags Rule, or Regulation S-ID. [read post]
27 Jul 2022, 1:35 pm
Morgan Securities LLC, UBS Financial Services Inc., and TradeStation Securities, Inc. for deficiencies in their programs to prevent customer identity theft, in violation of the SEC’s…Read the Full Press ReleaseHave a securities law question? [read post]
26 Jul 2022, 2:01 pm
Firm Accused of Inadequate Training And Poor Supervision of Brokers That Sold YES UBS Financial Services has consented to pay about $25M to settle US Securities and Exchange Commission (SEC) charges related to the firm’s Yield Enhancement Strategy (YES). [read post]
13 Jul 2022, 9:23 am
Two FINRA Arbitration Panels Order Firm To Pay UBS YES Customers for Their Losses In separate UBS Yield Enhancement Strategy (UBS YES) investor cases, two Financial Industry Regulatory Authority (FINRA) arbitration panels have awarded UBS Financial Services customers $1.18M and $1.4M, respectively. [read post]
12 Jul 2022, 9:56 am
UBS to Pay $25 Million to Settle SEC Fraud Charges Involving Complex Options Trading Strategy, YES (Yield Enhancement Strategy) According to The Securities and Exchange Commission on June 29, 2022, UBS Financial Services Inc. has agreed to pay approximately $25 million to settle fraud charges in connection with YES, (Yield Enhancement Strategy), a complex investment strategy. [read post]
11 Jul 2022, 5:20 am
UBS will pay a $17.4 million penalty and $7.2 million in disgorgement and interest (In the Matter of UBS Financial Services Inc., Release No. 34-95168, June 29, 2022).The “Yield Enhancement Strategy” (YES) is an options trading strategy designed by a team at Credit Suisse to generate income from an existing portfolio of securities. [read post]
6 Jul 2022, 10:08 am
Thomas BarothyWe see the corporate legal team at UBS white labeling their legal know-how and commercializing it for other Swiss financial services entities to use – a ground-breaking, whole team effort. [read post]
5 Jul 2022, 8:39 am
John Sommo UBS Financial Services Inc. [read post]
30 Jun 2022, 10:25 am
Securities and Exchange Commission (SEC) has announced a landmark settlement with UBS Financial Services Inc. related to the firm’s Yield Enhancement Strategy (YES). [read post]
30 Jun 2022, 7:50 am
UBS Financial Services Inc has agreed to pay $25 million to settle SEC fraud charges relating to a particular investment strategy called Yield Enhancement Strategy. [read post]
29 Jun 2022, 1:40 pm
The Securities and Exchange Commission today announced that UBS Financial Services Inc. has agreed to pay approximately $25 million to settle fraud charges relating to a complex investment strategy referred to as YES, or Yield Enhancement Strategy. [read post]
21 Jun 2022, 12:11 pm
(CRD:# 23131), of Old Tappan, NJ, and UBS Financial Services (CRD:# 8174 ) of Paramus, NJ. [read post]
16 Jun 2022, 2:18 pm
Secret Service for financial misconduct. [read post]
1 Jun 2022, 2:15 pm
UBS Financial Services is suing Robert Turner, of McGregor, Texas, on fraud allegations and is asking a judge to seize Turner’s assets to help UBS offset the cost of repaying its customers for some $17 million in losses. [read post]
1 Jun 2022, 8:46 am
MML Investors Services, LLC NYLife Securities LLC Teresa Gomez UBS Financial Services Inc. [read post]
1 Jun 2022, 8:31 am
According to FINRA Disciplinary actions for May 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Kevin Harms Chelsea Financial Services Salomon Whitney Financial David Morris Stifel, Nicolaus & Company, Incorporated UBS Financial Services Inc. [read post]
27 May 2022, 12:40 pm
Francis Amsler and Marc Lobarde Were the UBS Financial Brokers of Record A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded a Houston, Texas, couple $3.9 million in their claim against UBS Financial Services (UBS). [read post]
