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UBS Financial Services Settles SEC Charges Over Exchange-Traded Products Compliance Lapses for $8M

Customers Were Allegedly Unsuitably Sold Complex Exchange-Traded Products UBS Financial Services (UBS) has agreed to a censure and will pay an $8M fine in the Securities and Exchange Commission’s (SEC) civil case accusing the brokerage firm of failing to properly supervise its brokers. UBS financial advisors sold complex exchange-traded products…

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