UBS Puerto Rico close-end funds settlement
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  • FINRA Awards UBS Client $2.9 Million

    September 2, 2015 Comments (0) Blog, Securities Fraud

    UBS ordered to pay $2.9 million in another FINRA arbitration claim. The financial Industry Regulator authority (FINRA) awarded Ana Teresa Lopes-Gonzales and Andres Ricardo Gomez $2.4 million in damages and about $480,000 for attorneys fees. According to Investment News, Gonzales and Gomez were part of a $10 million

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