Sonn Law Group is investigating claims regarding Darlene Kay Bandy (CRD number 11744, Bellflower, California). Bandy recently submitted an Acceptance, Waiver & Consent (“AWC”) in[...]
UBS
Have you ever invested any of your hard-earned assets with financial broker Ralph Marra? If so, it is imperative that you are aware of past[...]
Sonn Law Group and the ALB firm received a FINRA arbitration award against UBS Financial Services Inc. and UBS Financial Services of Puerto Rico for[...]
The law firm of Sonn Law Group is investigating UBS financial advisors’ sale of complex derivative investments known as “reverse convertible notes.” The Securities and Exchange[...]
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Two Miami attorneys helped win a $2.5 million verdict against UBS Financial Services Inc. in arbitration. Jeffrey Erez and Jeffrey R. Sonn of Sonn &[...]
Sonn Law Group is investigating claims regarding Phil G. Fiore Jr. (CRD #2547584, Bridgewater, Connecticut). Fiore recently submitted a Letter of Acceptance, Waiver and Consent[...]
FINRA recently fined two firms a total of $850,000 related to broker reporting failures. FINRA fined UBS Financial Services Inc., the broker-dealer unit of UBS[...]
Reuters reports that in April 2011 brokers at UBS Puerto Rico had grave concerns about selling high-risk Puerto Rico-focused bond funds to their clients. The[...]
Sonn Law Group and Aldarondo & Lopéz Bras recently filed a claim against UBS Financial Services, Inc. and UBS Financial Services Inc. of Puerto Rico[...]