UBS

• Nov 5, 2024 Luis Nin of UBS' Unauthorized Trades in Dead Client's Account Result in Fines, Suspension

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• Jul 31, 2024 FINRA Fines UBS $850,000 for Unapproved Annuities Supervision Failure Totalling $7.2 Million

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• Nov 1, 2023 Credit Suisse Ends 9 ETNs, Including Delisted VelocityShares Products That Lost 90% of Value

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• Mar 21, 2023 As Credit Suisse Shareholders Suffer Losses, AT1 Bond Holders Lose Everything

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• Aug 19, 2022 Broker Zachary Hansen Suspended After Selling Away From UBS Financial Services

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• Jul 20, 2021 UBS Ordered to Pay $8 Million for Unsuitable Complex ETP Sales of VXX

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• Apr 1, 2020 Caution Urged as UBS, HSBC Recommending Asian Structured Products to Top Clients

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• Mar 30, 2020 Corona Virus Claims UBS ETRACS ETN Structured Products as Risky Debt Notes Free-Fall

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• Sep 3, 2019 UBS' Yield Enhancement Strategy Harming Low-Risk Investors Who Say No to YES

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