Finra Fines, Suspends Ex-UBS Broker for Unauthorized Trading
A former UBS Wealth Management USA broker in New York City was suspended for three months and fined…
UBS Claws Back $5.6 Million From LPL Broker in New Jersey
UBS Wealth Management USA clawed back more than $5.6 million from a Paramus, New Jersey-based broker who left…
U.S. regs sanction UBS for repeat AML violations
The U.S. brokerage division of Swiss banking giant, UBS Financial Services Inc., has been hit with a record…
FinCEN Hits UBS With Record $125M Fine for Repeat AML Monitoring Failures
The Treasury Department’s Financial Crimes Enforcement Network on Monday assessed a $125 million civil money penalty against UBS…
UBS Hit With Record $125 Million Penalty Over Repeat Anti-Money Laundering Failures
UBS Wealth Management USA has agreed to pay $125 million in fines from four regulators over allegations of…
UBS Hit With Record $125 Million Penalty Over Repeat Anti-Money Laundering Failures
UBS Wealth Management USA has agreed to pay $125 million in fines from four regulators over allegations of…
UBS to pay $1.2M for placing client in annuity, securities-backed loan
UBS has to pay more than $1.2 million to a former client whose lawyer says she saw her…
UBS falls short in bid to overturn $95.3M arb award
UBS has again learned that courts have little interest in overturning multimillion awards handed down by industry arbitration…
Judge tosses UBS’ attempt to have $1M arbitration award quashed
A federal judge has rejected UBS’ longshot attempt to have overturned a $1 million penalty FINRA arbitrators awarded…
Judge tosses UBS’ attempt to have $1M arbitration award quashed
A federal judge has rejected UBS’ longshot attempt to have overturned a $1 million penalty FINRA arbitrators awarded…
Broker blamed for Archegos losses wins $9M from UBS, Credit Suisse
Actions by the former Credit Suisse are still haunting UBS since the acquisition of its former banking rival…