FINRA fines UBS Financial Services for deficiencies in reporting of transaction information
UBS Financial Services Inc. has agreed to pay a fine of $1,100,000 as a part of a settlement with FINRA.
UBS Financial Services
FINRA imposes $500k fine on UBS Financial Services
UBS Financial Services Inc has agreed to pay a fine of $500,000 as a part of a settlement with FINRA.
SEC fines UBS $25 million for fraud involving complex options trading strategy
UBS Financial Services has agreed to pay $25 million to settle fraud charges relating to a complex investment strategy.
Former UBS rep fined for disclosing personal data of 100 customers
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.
