UBS Fined $3.5 Million for Alleged Lax Supervision of Short-Term Trading
At least 22 representatives or teams frequently traded preferred stocks intended as long-term income vehicles, Finra alleges.
Financial Advisor7h
UBS Fined $1.1M For Giving Clients Faulty Price Info, Finra Says
UBS FSI has agreed to pay the Financial Industry Regulatory Authority (Finra) $1.1 million to settle charges that for more than 10 years and despite multiple regulatory warnings, the Weehawken, ...
Financial Planning11d
UBS to pay $3.5M fine for failing to monitor frequent trades
Regulators accused UBS of not doing enough to monitor 22 brokers who generated commissions and sales concessions of syndicate preferred stocks.
Financial Advisor IQ11d
UBS to Pay $3.4M+ over Short-Term Preferred Stock Sales
Between January 2017 and at least December 2018, at least 22 UBS Financial Services registered representatives or ...
Seeking Alpha25d
Kingsoft Cloud upgraded by UBS on revenue growth optimism
Kingsoft Cloud (NASDAQ:KC) was upgraded by UBS to Buy from Neutral, citing optimistic revenue growth outlook and margin recovery. The brokerage also raised its price target on the Chinese software ...
Brokerage Radar: UBS cuts IndusInd's target price, Jefferies upgrades Indian Oil to 'Buy'
Check out the latest brokerage calls and analyst comments on the stocks in action today. Our coverage includes Infosys, ...
Financial Advisor12d
UBS Hit With $3.5M In Penalties On Product Suitability, Supervisory Issues
UBS Financial Services has agreed to pay nearly $3.5 million to settle charges by the Financial Industry Regulatory Authority that it failed to supervise its representatives, allowing them to ...