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Tag: UBS Puerto Rico closed-end fund lawsuit

Blog, Securities Fraud Articles

September 2, 2015

FINRA Awards UBS Client $2.9 Million

UBS ordered to pay $2.9 million in another FINRA arbitration claim. The financial Industry Regulator authority (FINRA) awarded Ana Teresa...

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Blog, Securities Fraud Articles

October 17, 2014

UBS Puerto Rico $5.2 Million Settlement with Regulators

According to InvestmentNews, UBS Financial Services Inc. of Puerto Rico has agreed to pay $1.7 million to investors to settle allegations...

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