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Articles Posted in Reverse Convertible Notes

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 UBS Financial Services to Pay Over $15M to Settle Charges Related to the Sale of Reverse Convertible Notes to Retail Investors

  The U.S. Securities and Exchange Commission (SEC) said that UBS Financial Services (UBS) has consented to pay over $15 million to resolve civil charges accusing it of not adequately training and educating sales team members regarding complex financial products that were sold to retail investors.  According to the SEC’s…

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