UBS Financial Services Inc. and UBS Financial Services Inc. of Puerto Rico were slammed with an $18 million arbitration verdict by the Financial Industry Regulatory Authority released Monday, legal firm Sonn and Erez PLC confirmed ...
The Financial Industry Regulatory Authority (FINRA) announced Wednesday it has fined Merrill Lynch, Pierce, Fenner & Smith Inc. $6.25 million and the firm will pay some $780,000 in restitution to 22 Puerto Rico customers who ...
The Financial Industry Regulatory Authority (FINRA) announced Tuesday it ordered Santander Securities LLC to pay some $4.3 million in restitution to certain customers who were solicited to purchase Puerto Rican Municipal Bonds, or PRMBs.