Tag Archives: FINRA fine

UBS Financial Services Fined for Shoddy Supervision of ETF Sales

May 04, 2012  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

UBS Financial Services Inc. has agreed to pay a $1.5 million fine after the Financial Industry Regulatory Authority (FINRA) charged the firm with failure to supervise the sale of complex financial products known as non-traditional exchange-traded funds, as well as for making unsuitable recommendations of these funds. In addition to the fine, UBS Financial Services […]

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