FINRA fines UBS Securities for inaccurate statistics regarding order execution
From September 2015 through January 2019, UBS-S published inaccurate monthly statistics regarding execution of covered orders.
From September 2015 through January 2019, UBS-S published inaccurate monthly statistics regarding execution of covered orders.
Former Managing Director, Global Head of Rates Quantitative Analytics at UBS Securities gets suspended for sharing confidential information.
UBS Securities insists that the plaintiffs’ demands mean that it would have to produce overbroad trade data associated with other non-parties to the case.
UBS did not maintain and could not provide to CFE the audit trail data requested by the Exchange.