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Institutional FX

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

UBS released 41 reports between 2015 and 2019 allegedly containing inaccurate details.
The broker-dealer has agreed to settle without admitting or denying FINRA's findings.

Monday, 06/02/2023 | 16:41 GMT by Solomon Oladipupo

Institutional FX

FINRA Penalizes UBS Securities $2.5M for 73,000 ‘Naked’ Short Sales

The violations occurred between 2009 and 2018.
The US SEC recently fined UBS Securities $125 million alongside 14 other broker-dealers.

Wednesday, 05/10/2022 | 10:58 GMT by Solomon Oladipupo

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