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FINRA Slams $475K Fine on UBS Securities—Second in 4 Months

The Financial Industry Regulatory Authority (FINRA) has slammed another fine on New York-based securities broker, UBS Securities (UBS-S). This time the self-regulatory organization hit the firm, which is the brokerage arm of Swiss banking group, UBS, with a censure order and fine of $475,000 for publishing “inaccurate” monthly statistics on execution<... Read More

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Posted: Feb 6 2023, 16:41

Author Name: financemagnates

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