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August 7, 2017
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UBS Securities LLC Fined and Censured According to FINRA, on May 15, 2017, UBS Securities LLC (CRD #7654, New York, New York) was issued an AWC in which the firm was censured and fined $50,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it …
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