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Monthly Archives: December 2015

SEC and FINRA hit UBS with Combined $34 Million Fine

By Tom Costello of Costello Law Group The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) fined UBS Wealth Management for claims related to the offer and sale of the Puerto Rico bond fund. The SEC’s fine totaled $15 million. The money will go into a fund for the […]

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