featured, FINRA, UBS, UBS Financial Services
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UBS Financial Services Inc has agreed to pay a fine of $500,000 as a part of a settlement with FINRA.
featured, SEC, UBS, UBS Financial Services
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UBS Financial Services has agreed to pay $25 million to settle fraud charges relating to a complex investment strategy.
Daniel Hee, UBS Financial Services
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Daniel Hee, while still registered with UBS, gave account documents for some 100 customers to a representative he planned to work with at another firm.
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