Tagged with "UBS Financial Services"

UBS Agrees to Pay $10 Million to Settle SEC Charges

Posted on July 27th, 2020 at 4:23 PM
UBS Agrees to Pay $10 Million to Settle SEC Charges

UBS Financial Services Inc. has agreed to pay $10 million to settle charges brought by the U.S. Securities and Exchange Commission (‘SEC”) that UBS circumvented the priority given to retail investors for certain municipal bond offerings.

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Three Large Brokerage Networks Offering Significant Recruiting Bonuses in 2019

Posted on March 1st, 2019 at 1:49 PM
Three Large Brokerage Networks Offering Significant Recruiting Bonuses in 2019

As Merrill Lynch, Morgan Stanley and UBS Financial Services, Inc. have recently pulled back their recruiting efforts in order to focus on growing assets and revenue internally, firms such as Wells Fargo Advisors, LPL Financial and Cetera Financial Group are seeking the opportunity to gain ground by offering attractive recruiting bonuses.

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Customer Files FINRA Arbitration Claim Against UBS Over Its Failure to Supervise Former Broker

Posted on December 7th, 2018 at 2:34 PM
Customer Files FINRA Arbitration Claim Against UBS Over Its Failure to Supervise Former Broker

UBS Financial Services is facing a claim from a customer that it failed to supervise one of its former brokers, Alex G. Herrera of Coral Gables, Florida.

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UBS Fined for Failing to Educate Brokers on Complex Product Sales

Posted on October 17th, 2016 at 10:57 AM
UBS Fined for Failing to Educate Brokers on Complex Product Sales

The SEC has fined UBS Financial Services over $15 million because of its failure from 2011 to 2014 to educate and train retail brokers on the sale of almost $11 billion of complex structured products. 

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UBS Under Investigation for Selling Currency and Foreign Exchange Products

Posted on May 1st, 2015 at 11:19 AM
UBS Under Investigation for Selling Currency and Foreign Exchange Products

The U.S. Justice Department is investigating UBS Financial Services, unsuitable recommendations and sales of currency and foreign exchange products, including the UBS V10 Enhanced FX Carry Strategy.

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LATEST NEWS AND ARTICLES

September 23, 2022
CFP Board Lifts Interim Suspension of Former UBS Advisor

The Certified Financial Planner Board of Standards (CFP Board) has lifted an interim suspension it had imposed against a former UBS advisor after criminal fraud charges against him were recently dismissed.

September 22, 2022
FINRA Penalizes Baird Over $100 Trading Commissions

The Financial Industry Regulatory Authority (FINRA) has ordered Robert W. Baird & Co. to pay $461,481 plus interest due to allegations that the firm overcharged its clients on thousands of equity transactions for at least one year.

September 21, 2022
FINRA Arbitrators Award Nearly $470,000 To Investors in UBS YES Product

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS to pay nearly $470,000 to clients who invested in a complex options strategy, known as the YES or Yield Enhancement Strategy.