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UBS Unit To Pay $3.5M Over FINRA Preferred Stock Claims

By Sarah Jarvis ( December 19, 2024, 8:27 PM EST) -- The brokerage unit of UBS has agreed to pay nearly $3.5 million to settle the Financial Industry Regulatory Authority's allegations that it did not have the proper supervisory system to catch unsuitable recommendations for short-term trades of syndicate preferred stocks....

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