Tag: Puerto Rico municipal bond losses
Blog, Current Investigations
November 30, 2016
UBS Loses Again on Puerto Rican Bonds UBS was dealt another blow from its sale of Puerto Rican bonds and closed-end funds by FINRA, who...
Blog, Securities Fraud
April 27, 2016
The debt crisis in Puerto Rico continues to loom over the commonwealth. Although the island is a U.S. territory, it’s public...
Blog, Securities Fraud
September 2, 2015
UBS ordered to pay $2.9 million in another FINRA arbitration claim. The financial Industry Regulator authority (FINRA) awarded Ana Teresa...
Blog, Securities Fraud
May 22, 2015
According to Investment News, a FINRA arbitration panel awarded $1 million to an investor whose portfolio was over-concentrated in UBS...
Blog, Securities Fraud
January 2, 2015
According to InvestmentNews, the beneficiaries of a trust are suing UBS for $4.5 million. The lawsuit alleges that UBS “acted against...
Blog, Securities Fraud
June 23, 2014
According Bloomberg, “U.S. authorities in Puerto Rico are investigating allegations that a former UBS AG broker improperly advised...
