Top

UBS

September 03, 2019 UBS' Yield Enhancement Strategy Harming Low-Risk Investors Who Say No to YES
March 27, 2019 Investors Seeking to Recover Losses from Unsuitable UBS' Yield Enhancement Strategy (YES)
January 15, 2019 Paul Wishingrad Sanctioned for Unauthorized Use of Discretion in UBS Client Accounts
October 31, 2018 Intrepid Investment Bankers President W Michael Rosenberg Sanctioned for Undisclosed Accounts Away from Firm
March 21, 2023 As Credit Suisse Shareholders Suffer Losses, AT1 Bond Holders Lose Everything
August 19, 2022 Broker Zachary Hansen Suspended After Selling Away From UBS Financial Services
July 21, 2021 UBS Ordered to Pay $8 Million for Unsuitable Complex ETP Sales of VXX
April 01, 2020 Caution Urged as UBS, HSBC Recommending Asian Structured Products to Top Clients
March 30, 2020 Corona Virus Claims UBS ETRACS ETN Structured Products as Risky Debt Notes Free-Fall
May 18, 2018 Banks and Brokers Recommending Risky Reverse Convertibles to Combat Volatility Despite Prior Discipline
January 04, 2018 Goldman Sachs Structured Products, Reverse Convertibles, Suitability, and the Fiduciary Rule
December 27, 2017 NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats
October 25, 2017 SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints
January 24, 2017 Citizens Securities Fined $300,000 for Failing to Disclose Customer Complaints
September 29, 2016 UBS to Pay $15 Million over Unsuitable Reverse Convertible Note Sales to Conservative and Retired Investors
March 15, 2016 UBS Preparing Sales of High-Yield CoCo Bonds, A Risky Debt That Can Bail Out Banks At Expense of Investors
March 02, 2016 7% of Financial Advisers Industry-Wide Cited for Misconduct, Including 20% of Oppenheimer's Advisers
October 15, 2015 UBS Managed High Yield Plus Fund Board Approves Liquidation Plan
September 10, 2015 Darlene Kay Bandy Barred for Failure to Cooperate with Investigation into Conversion of Funds
July 20, 2015 FINRA Bars John Anthony Waszolek for Improperly Appointing Himself Successor Trustee for Diminished Capacity Elder, Attempting to Inherit $1.8 Million
May 25, 2015 JP Morgan Chase, Citigroup, Barclays, RBS, UBS Admit to Criminal Conduct, Fined $6 Billion; JPMorgan Issues Disclosure Notice
March 11, 2015 FINRA Censures and Fines UBS $500,000 for Failing to Disclose Broker Issues to Regulators
January 22, 2015 Ex-UBS Broker Donna Jessee Tucker Barred, Convicted of Fraud for Stealing from Elderly in Ponzi-like Scheme
January 18, 2015 UBS Fined Record $12 Million Plus $2.5m in Disgorgement, Interest for Dark Pool Disclosure Violations
August 22, 2014 Airbags - Unsafe at any Speed
May 22, 2013 FINRA: Firms Must Adhere to Industry Rules and Be Honest with Investors
March 31, 2013 UBS-Sponsored Willow Fund Drops 80 Percent After Manager Sam Kim Switches to Risky Derivatives Strategy
February 01, 2013 UBS to Change Customers' Objectives, Reclassify Clients as "Aggressive" Investors