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UBS
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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