The Commodity Futures Trading Commission (CFTC) today announced an order filing and settling charges against UBS Financial Services Inc.
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 Inc has agreed to pay a fine of $500,000 as a part of a settlement with FINRA.
UBS Financial Services has agreed to pay $25 million to settle fraud charges relating to a complex investment strategy.
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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