UBS settlement
Tag Archive

  • More Bad News for UBS

    September 10, 2013 Comments (0) Blog, Securities Fraud

    According to the Wall Street Journal, UBS recently settled allegations client service associates, who provided sales support to UBS’s brokers and financial advisers, were accepting custumer trade orders from clients. UBS agreed to pay $4.6 million to be shared among the 50 states, the District of Columbia, Puerto

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  • UBS Securities to Pay $50 Million

    August 8, 2013 Comments (0) Blog, Securities Fraud

    On August 6, 2013, UBS Securities agreed to pay nearly $50 million to settle charges with the Securities and Exchange Commission (SEC). The SEC charges allege that while structuring and marketing a collateralize debt obligation (CDO), known as ACA ABS 2007-2 (ACA), UBS failed to disclose the $23.6 million received in

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