UBS Puerto Rico class action Archives - Page 3 of 4

September 29, 2015

The Securities and Exchange Commission settled charges against UBS Financial Services of Puerto Rico for failing to supervise former...

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September 2, 2015

UBS ordered to pay $2.9 million in another FINRA arbitration claim. The financial Industry Regulator authority (FINRA) awarded Ana Teresa...

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May 22, 2015

According to Investment News, a FINRA arbitration panel awarded $1 million to an investor whose portfolio was over-concentrated in UBS...

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January 2, 2015

According to InvestmentNews, the beneficiaries of a trust are suing UBS for $4.5 million. The lawsuit alleges that UBS “acted against...

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October 17, 2014

According to InvestmentNews, UBS Financial Services Inc. of Puerto Rico has agreed to pay $1.7 million to investors to settle allegations...

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June 23, 2014

According Bloomberg, “U.S. authorities in Puerto Rico are investigating allegations that a former UBS AG broker improperly advised...

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Tag: UBS Puerto Rico class action