• FINRA Fines UBS $500,000, Vanguard $350,000 For Broker Reporting Failures
  • Recording Shows UBS Pressured Doubtful Brokers to Sell High Risk Puerto Rico Funds
  • Claim Against UBS & Merrill Lynch for Puerto Rico / UBS Losses
  • SEC Sanctions UBS Financial Services, Oppenheimer & Co., J.P. Morgan Securities, and 10 Others for Improper Sales of Puerto Rico Junk Bonds
  • UBS Settles Claims with Puerto Rico Regulator
  • Claim Filed Against UBS/UBS Puerto Rico