Tagged with "product sales"

UBS Fined for Failing to Educate Brokers on Complex Product Sales

Posted on October 17th, 2016 at 10:57 AM
UBS Fined for Failing to Educate Brokers on Complex Product Sales

The SEC has fined UBS Financial Services over $15 million because of its failure from 2011 to 2014 to educate and train retail brokers on the sale of almost $11 billion of complex structured products. 

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