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Showing 1 - 2 of 2 results for "UBS Financial Services"

SEC fines UBS Financial Services over fraud charges

JAMIE WILLIAMSON  |  THURSDAY, 30 JUN 2022
In the US, UBS Financial Services has agreed to pay US$25 million to settle fraud charges related to a complex options trading strategy it sold to investors without adequately educating their financial advisers on the product's risks. The Yield Enhancement ...

UBS faces multi-billion lawsuit

RUTH LIEW  |  TUESDAY, 29 JUL 2008
UBS Securities and UBS Financial Services in the US are embroiled in a multi-billion dollar fraud lawsuit filed by the New York State Attorney General, Andrew Cuomo. Cuomo's lawsuit charges UBS with falsely selling and marketing auction rate securities ...
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