UBS Fined Over Late Disclosures in US

New York-based UBS Financial Services has been censured and fined $370,000 in a settlement with the US Financial Industry Regulatory Authority over hundreds of late disclosures about its brokers. The....

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By: Christopher Owen
October 26, 2007
New York-based UBS Financial Services has been censured and fined $370,000 in a settlement with the US Financial Industry Regulatory Authority over hundreds of late disclosures about its brokers. The....