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Tag: UBS Puerto Rico fund loses

Blog, Current Investigations

November 30, 2016

UBS Loses Again on Puerto Rican Bonds

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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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

May 22, 2015

UBS Puerto Rico Ordered to Pay Investor $1 Million

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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Blog, Securities Fraud Articles

January 2, 2015

Investors Sue UBS Puerto Rico

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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