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22 Apr 2011, 6:58 am by Keith Griffin
The Financial Industry Regulatory Authority (FINRA) has fined UBS Financial Services $2.5 million over PPNs, requiring the brokerage firm to pay $8.25 million in restitution for omissions and statements made to investors about the products. [read post]
17 Oct 2014, 10:12 am by Lax & Neville LLP
The Commission of Financial Institutions for the Commonwealth of Puerto Rico (“OCFI”) ordered UBS Financial Services Inc. of Puerto Rico (“UBS”), a division of UBS Wealth Management Americas, to pay $5,200,000 in fines and restitution in an October 9, 2014 enforcement action. [read post]
24 Aug 2021, 11:13 am by Iorio Altamirano
On August 23, 2021, a FINRA Dispute Resolution Services arbitration panel in Baltimore, Maryland, ordered UBS Financial Services, Inc. [read post]
25 Oct 2007, 12:27 pm
UBS Financial Services has been censured and fined $370,000 in a settlement with the Financial Industry Regulatory Authority, or FINRA, for making what the self-regulatory group said were hundreds of late disclosures about its brokers. [read post]