Search for: "Puerto Rico Financial Institutions Commissions"
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3 Aug 2015, 7:50 am
More information regarding the investigations and arbitration is here.UBS has been settling the cases with its customers who are making allegations of unsuitable investments; breach of contract and fiduciary duty; negligence; and failure to supervise , as well as violation of Section 10(b) of the Securities Exchange Act, Rule 10b-5 of the Securities Exchange Commission, NYSE and FINRA rules, and the securities laws and other laws and regulations of Puerto Rico; and… [read post]
17 Oct 2014, 10:12 am
The Commission of Financial Institutions for the Commonwealth of Puerto Rico (“OCFI”) ordered UBS Financial Services Inc. of Puerto Rico (“UBS”), a division of UBS Wealth Management Americas, to pay $5,200,000 in fines and restitution in an October 9, 2014 enforcement action. [read post]
21 Nov 2018, 10:57 am
.), a former UBS Financial Services of Puerto Rico (UBS-PR) broker, has pleaded guilty to criminal charges accusing him of defrauding investors while making over $1 million in improper commissions through the sale of Puerto Rico closed-end funds. [read post]
15 Jan 2019, 10:24 am
Our Puerto Rico investor fraud lawyers have been working with retail investors, small business owners, and institutional investors on the island and the mainland to bring their securities arbitration claims before the Financial Industry Regulatory Authority (FINRA). [read post]
29 Sep 2015, 2:47 pm
The Securities and Exchange Commission settled charges against UBS Financial Services of Puerto Rico for failing to supervise former broker, Jose Ramirez Jr. who allegedly had customers invest in funds using money borrowed from a UBS Puerto Rico affiliated bank. [read post]
12 Oct 2012, 3:05 pm
Hurricane Georges was bad for Puerto Rico. [read post]
14 Apr 2014, 6:58 am
On March 21, 2014, The Financial Industry Regulatory Authority (FINRA) announced that it is investigating trading in Puerto Rico, examining secondary trades in Puerto Rico’s blockbuster $3.5 billion bond deal. [read post]
20 Oct 2013, 4:33 pm
” The Securities and Exchange Commission (the SEC) has actually been monitoring this situation for some time. [read post]
11 May 2012, 6:27 pm
UBS Financial Services Inc. of Puerto Rico (UBS) has agreed to pay $26.6 million to settle the Securities and Exchange Commission administrative action accusing the financial firm of misleading investors about its control and liquidity over the secondary market for nearly two dozen proprietary closed-end mutual funds. [read post]
14 Oct 2013, 6:11 am
The Puerto Rico Funds are registered under the Puerto Rico Investment Companies Act and are regulated by the Office of the Commissioner of Financial Institutions of Puerto Rico. [read post]
24 Jun 2016, 11:52 am
Whenever a Puerto Rico status related question is raised the Court almost automatically places the Puerto Rico issue flat on the lap of Congress. [read post]
5 May 2021, 11:01 am
Pariter Securities, LLC is a broker-dealer based in Guaynabo, Puerto Rico. [read post]
16 Aug 2016, 1:38 pm
Currently, she is a member of the Commission on Consumer Rights at the Bar Association of Puerto Rico and Puerto Rico Association of Notaries. [read post]
23 Sep 2016, 6:05 am
PROMESA and Puerto Rico’s Pathways to Solvency Posted by Stephen Park, University of Connecticut, and Tim Samples, University of Georgia, on Friday, September 16, 2016 Tags: Bailouts, Bankruptcy, Bondholders, Bonds, Debt, Debtor-creditor law, Engagement, Incentives, Municipal securities,PROMESA, Puerto Rico, Restructurings, Securities regulation, Sovereign debt Equity Market Structure in 2016 and for the Future Posted by Mary Jo White, U.S. [read post]
22 Sep 2022, 9:03 pm
Governor of Puerto Rico Pedro R. [read post]
15 Mar 2018, 7:16 am
Under the Crapo bill, closed-end companies would get broader proxy powers, while Puerto Rico and other U.S. territories would achieve regulatory parity with mainland U.S. rules for investment companies. [read post]
11 Dec 2008, 10:33 pm
Of those, Sullivan & Cromwell advised just two of those firms--First Midwest Bancorp. in Illinois (which received $193 million in TARP funds) and Popular, Inc., a bank based in Puerto Rico (and better known an Banco Popular), which received $935 million. [read post]
28 Jan 2011, 12:28 am
As discussed here, on August 2, 2010, District of Puerto Rico Judge Gustavo Gelpi granted in part and denied in part the defendants’ motion to dismiss. [read post]
7 Sep 2018, 7:38 am
Read the SEC Order in the Massachusetts Financial Services Case (PDF) Read the SEC Complaint in the Group Grenda Case (PDF) In latest A-share discount snafu, broker-dealer pays $1.37 million to clients, InvestmentNews, September 5, 2018 More Blog Posts: New Report Suggests Banco Popular de Puerto Rico Could Be Held Liable Over Island’s Final Junk Bond Issuance, September 6, 2018 Investors Bilked in $1.2B Woodbridge Ponzi Scam Must Pay 16% to Borrow on What They Are… [read post]
23 May 2019, 12:28 pm
NASAA has 67 members, including the securities regulators in all 50 states, the District of Columbia, Puerto Rico, and the U.S. [read post]
