FINRA study: Puerto Rico population experiencing ‘financial fragility’
September 5, 2024
The findings highlight Puerto Rican households’ ability to make ends meet, manage debt, build wealth, and plan for the future. #NewsismyBusiness
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Lawyers: UBS hit with $18M FINRA arbitration verdict
December 6, 2016
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 in a statement.
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FINRA fines Merrill Lynch $7M; $780K goes to PR clients
December 1, 2016
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 who were "highly concentrated and highly leveraged in Commonwealth securities."
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