SEC Fines UBS $8 Million for Bad Recordkeeping

UBS Securities has once again been penalized for its improper handeling of short sales. This fine from the SEC is for $8 million and a $12 million fine was imposed by FINRA less than two weeks ago.

FINRA Fines UBS $300,000

UBS Financial Services, Inc. was fined $300,000 by FINRA for failing to supervise and prevent excessive crosstrading of municipal securities between the customer accounts of one broker for a two-year period.

Reader's Comments (10)

Jose. 2017-09-21 08:37:19

Oh this is a huge amount of money to pay as fine for UBS Financial Services, I have seen about them at best essay paper as well, Bad Recordkeeping is really something each service holder should have, Hope they get to pay the prices on time.

Alvie. 2017-11-15 19:46:42

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