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Tag: UBS Puerto Rico reimbursement

Blog, Current Investigations, Securities Fraud

September 29, 2015

UBS Puerto Rico $34 Million Settlement with SEC & FINRA

The Securities and Exchange Commission settled charges against UBS Financial Services of Puerto Rico for failing to supervise former...

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Blog, Securities Fraud

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

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

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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Blog, Securities Fraud

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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