November 30, 2016
UBS Loses Again on Puerto Rican Bonds UBS was dealt another blow from its sale of Puerto Rican bonds and closed-end funds by FINRA, who...
Blog, Securities Fraud Articles
May 22, 2015
According to Investment News, a FINRA arbitration panel awarded $1 million to an investor whose portfolio was over-concentrated in UBS...
Blog, Securities Fraud Articles
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...