-
By Press Release |
December 27, 2012
FINRA fined the companies more than $3.35 million required them to pay a total of $1.13 million in restitution.
-
By Press Release |
June 21, 2012
Merrill Lynch allegedly overcharged customers $32 million in unwarranted fees and for failing to provide trade notices.
-
By Christopher Condon and Joshua Gallu, Bloomberg |
May 1, 2012
Citigroup Inc., Morgan Stanley, UBS AG and Wells Fargo & Co. agreed to pay a combined $9.1 million to settle regulatory claims they failed to adequately supervise the sale of leveraged and inverse exchange-traded funds in 2008 and 2009.
-
By Press Release |
April 12, 2012
Regulators say the firm failed to supervise analyst communications with traders, and didn't do enough to guard against information breaches by researchers.
-
By Press Release |
December 27, 2011
FINRA says Credit Suisse entered millions of short sale orders without reasonable grounds to believe that the securities could be borrowed.
-
By Press Release |
October 5, 2011
FINRA says supervisory failures allowed a registered representative at Merrill Lynch's branch office in San Antonio, Texas, to use a Merrill Lynch account to operate a Ponzi scheme.
-
By Press Release |
June 22, 2011
The company settles allegations that its bond fund sales materials exaggerated claims and failed to disclose risks.
-
By Daniel P. Collins |
May 1, 2011
Finra fined UBS Financial Services, Inc. $2.5 million, and required UBS to pay $8.25 million in restitution
-
By Press Release |
April 19, 2011
According to FINRA, the San Antonia, Texas, company provided fraudulent information regarding natural gas prices with respect to energy investments.
-
By Press Release |
April 11, 2011
The Financial Industry Regulatory Authority announced today that it has fined UBS Financial Services Inc. $2.5 million and required the company to pay $8.25 million in restitution.
