UBS Puerto Rico fiduciary duty Archives

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...

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September 2, 2015

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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May 22, 2015

According to Investment News, a FINRA arbitration panel awarded $1 million to an investor whose portfolio was over-concentrated in UBS...

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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...

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June 23, 2014

According Bloomberg, “U.S. authorities in Puerto Rico are investigating allegations that a former UBS AG broker improperly advised...

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May 8, 2014

News, another class action lawsuit was filed against UBS regarding the sale of Puerto Rico bond funds. However this is one of the first...

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