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Browsing Tag

clawback

2 posts
UUBS
Ex-UBS advisor owes firm $5.6 million in bonus loan dispute.
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Ex-UBS advisor owes firm $5.6 million in bonus loan dispute.

  • 2026-08-07
UBS wins clawback of bonus money from advisor recruited from First Republic. A three-person FINRA arbitration panel this…
UUBS
UBS Claws Back $5.6 Million From LPL Broker in New Jersey
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UBS Claws Back $5.6 Million From LPL Broker in New Jersey

  • 2026-08-07
UBS Wealth Management USA clawed back more than $5.6 million from a Paramus, New Jersey-based broker who left…
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