UBS PaineWebber, Inc.
UBS PaineWebber (UBS) is a registered broker-dealer with the Financial Industry Regulatory Authority (“FINRA”). It is also registered with the Securities and Exchange Commission (“SEC”). Accordingly, it must abide by securities regulations and federal and state securities laws. Failure to do so leaves it susceptible to private and public legal action.
UBS conducts 24 types of businesses. Its investment advisory services include financial planning, portfolio management, pension consulting, selection of other advisors, publication of periodicals, and security ratings. Its clients consist of individuals, banking institutions, pension and profit sharing plans, businesses, charities, and government entities. It is compensated for its investment advisory services with fixed fees, commission, hourly charges, or a percentage of assets under its management.
If you believe you have a claim against UBS – PaineWebber, Inc., contact the attorneys at McCabe Rabin, P.A. for a free case review. Call 877-415-4040 or click here to e-mail us a written description of your case.