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Tag: UBS Financial

Blog, Current Investigations, Securities Fraud Articles

Robert Turner Barred after Allegations of Million-dollar Fraud

Robert Earl Turner, Jr., Waco, Texas, Barred from Securities Industry  According to a Letter of Acceptance Waiver and Consent on January...

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Blog, Current Investigations

FINRA Fines UBS Securities $2.5 Million for Reg SHO Violations 

UBS Sanctioned for Reg SHO Violations and Supervisory Failures  According to a press announcement this week, the Financial Industry...

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