Today news
About the same in other media
Finra fines, suspends ex-UBS rep who liquidated deceased client’s account
Reading now: 794
Finra has handed down a one-month suspension and financial penalties against a former UBS representative who made unauthorized trades amounting to hundreds of thousands of dollars in a deceased client’s account.
According to Finra's Letter of Acceptance, Waver and Consent published Wednesday, L
Read more on investmentnews.comAbout this in other media
UBS loses US activism defense staff to BofA, Wells Fargo investmentnews.com /3 months ago
Dominican Republic’s Top Financial Regulator Issues Crypto Warning cryptonews.com /3 months ago
Finra bars broker who forged clients’ annuity switches investmentnews.com /3 months ago
Show more
The website fvbb.com is an aggregator of news from open sources. The source is indicated at the beginning and at the end of the announcement. You can send a complaint on the news if you find it unreliable.
