Search for: "UBS Financial Services"
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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 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]
7 Jun 2023, 4:44 am
Finra arbitrators on Thursday ordered UBS Financial Services Inc. to pay $468,126 to customers who invested in a complex options strategy, following a ruling in last month by a separate panel of arbitrators that dismissed a similar case. [read post]
20 Aug 2008, 9:52 pm
Following on the heels of a similar complaint filed by Massachusetts securities regulators, New York Attorney General Cuomo's complaint against UBS Securities and UBS Financial Services ("UBS" collectively) alleges that UBS deceived its customers, its own financial advisors and the issuers of auction rate securities ("ARS"). [read post]
4 Jan 2007, 6:18 am
The New York Attorney General's Office is suing UBS Financial Services, Inc. for defrauding thousands of its customers. [read post]
6 Dec 2019, 2:10 pm
On November 11, 2019, the Hong Kong Securities and Futures Commission (“SFC”) announced that UBS Financial Services (“UBS”) was fined $51.09 million for overcharging thousands of clients throughout the last decade. [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]
9 Dec 2020, 8:39 am
If you have lost money with Ramon Almonte or UBS Financial Services Inc. of PR, contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account. [read post]
9 Dec 2020, 9:36 am
If you have lost money with Vicente Castillo or UBS Financial Services Inc. of PR, contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account. [read post]
9 Dec 2020, 9:13 am
If you have lost money with Jose Crescioni or UBS Financial Services Inc. of PR, contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account. [read post]
9 Dec 2020, 8:54 am
If you have lost money with Xavier Aguayo or UBS Financial Services Inc. of PR, contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account. [read post]
13 Jul 2021, 12:52 pm
In her new role, Pierce will work with UBS financial advisers, branch managers and support staff to provide a high-level of service to clients across branch offices in Delaware, ... [read post]
21 Jul 2017, 6:52 am
As set forth in UBS Financial Services Inc., Plaintiff, v. [read post]
8 Jul 2008, 12:47 am
Flynn alleges that UBS Financial Services forced him to resign as part of the firm's retaliation because he cooperated with regulators. [read post]
9 Jun 2023, 4:46 am
Earlier this month, a unanimous three-person Finra arbitration panel ordered UBS Financial Services Inc. to pay a retired Florida couple $5.2 million [...] [read post]
8 Jun 2023, 8:18 am
It’s win some, lose some for UBS Financial Services Inc. when it comes to arbitration cases involving an options trading strategy. [read post]
8 Nov 2018, 9:05 am
UBS Financial Services, Inc. [read post]
1 Mar 2009, 12:20 pm
UBS is increasing the base salary of senior investment bankers after reducing many bonuses to a fraction and to align overall compensation more with other financial services professions, such as consultants, DealBook colleague Julia Werdigier reports. [read post]
7 Aug 2020, 4:00 am
Despite your UBS Financial Services, Inc. [read post]
24 Feb 2017, 10:48 am
UBS Financial Services of Puerto Rico, et al. [read post]
