Tag: UBS promissory note

May 1, 2014

FINRA Awards regarding Financial Advisor Promissory Notes

Promissory Notes (often called up-front forgivable loans) are commonly used as a recruiting tool by many of the major brokerage firms in...

Blog, Securities Fraud Articles

February 20, 2012

UBS Files Injunction Against Departing Advisors

It is being reported by the Investment News that UBS is going after two former financial advisors for allegedly taking client information...

Blog, Securities Fraud Articles

April 8, 2011

Slow Transfer Year in Securities Industry

According to the InvestmentNewsAdvisers on the Move database, the wealth management division of UBS Financial Services Inc. added the most...

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