UBS Financial Services Inc.

• 

  SEC Enforcement Roundup: Former Morgan Stanley Exec Charged; Mother-Daughter Scam

  By Marlene Y. Satter, AdvisorOne  |  May 4, 2012

  Recent enforcement actions by the SEC include charges against a former Morgan Stanley executive for violation of the Foreign Corrupt Practices Act and a mother and daughter and their attorney in a penny stock scheme.

• UBS to Pay FINRA Fine and Restitution to Investors in Lehman PPNs

  By Kathleen McBride, AdvisorOne  |  May 1, 2011

• UBS to Pay FINRA Fine, Restitution to Investors in Lehman PPNs

  By Kathleen McBride, AdvisorOne  |  April 11, 2011

  UBS to pay $2.5 million to FINRA, $8.25 million to investors, ‘for omissions and statements made that effectively misled some investors.’

• 

  Case of UBS vs. Morgan Stanley FA Sheds Light on Broker Protocol

  By Janet Levaux, AdvisorOne  |  April 8, 2011

  Patrick Burns, a California attorney, warns advisors to carefully select the client information they take with them when switching firms, following the case of UBS Financial Services Inc. v Peter N. Junggren, Jr., who recently joined Morgan Stanley Smith Barney and is now subject to a temporary restraining order.

• UBS Outlines Reorganization; Releases Q1'09 Results

  By Janet Levaux, AdvisorOne  |  May 15, 2009

  Brokerage firm is sharpening its focus on high-net-worth clients as its growth strategy.

• The Skinny on the Protocol

  By Thomas D. Giachetti  |  February 1, 2009

  In this column I will address a specific issue that has increasingly become the subject of much discussion in the investment advisory industry: the "Protocol."...

• Guilty Plea Implicates Broker

  By Staff Writer  |  May 8, 2006

  LOS ANGELES (HedgeWorld.com)--Keith G. Gilabert, who federal authorities and securities regulators say ran a Ponzi scheme disguised as a hedge fund, has agreed to plead guilty to federal charges of conspiracy to commit mail fraud, wire fraud and securities fraud, according to a news release from the U.S. Attorney's Office....

• New Jersey Officials Charge Three with Market Timing

  By Staff Writer  |  March 23, 2005

  Three former traders in the Fort Lee, N.J., office of Merrill Lynch Pierce Fenner & Smith Inc. have had their securities trading registration revoked by the New Jersey Bureau of Securities and also face allegations of market timing from the New Jersey Attorney General's office in connection with trades they...