• SEC Charges Royal Bank of Scotland Subsidiary with Misleading Investors in Subprime RMBS Offering
  • UBS Posts Losses of $41 Million in Connection with Bet on Puerto Rico Debt
  • Investors Relay Common Themes Regarding Sales Pitches That Convinced Them to Invest in UBS Puerto Rico Tax Free Bonds
  • FINRA Cautions Investors on the Risks of Investing in Private Placements
  • UBS to Pay $50 Million to SEC for Misleading CDO Investors By Retaining $23.6 Million in Undisclosed Upfront Payments
  • Morgan Stanley Fined $1 Million, Ordered to Pay $188,000 Restitution for Failing to Provide Best Execution and Fair Pricing Violations in Customer Bond Transactions