ERC721

The Financial Industry Regulatory Authority censured and fined UBS Financial Services Incorporated of Puerto Rico (UBS PR) $7.5 million for supervisory failures related to the suitability of transactions in Puerto Rican closed-end fund (CEF) shares. In addition, FINRA ordered UBS PR to pay approximately $11 million in restitution to 165 customers who were forced to realize losses on their CEF positions. For more info visit https://www.finra.org/media-center/news-releases/2015/finra-sanctions-ubs-puerto-rico-185-million-supervisory-failures

Name

1368

Owner

0x6041f881358C71D64bc9253c9ba0391DF69F7d98

ID#1368

Rarity

LO:54%

Parent Company

UBS

EX:4%

Company

UBS Financial Services Incorporated of Puerto Rico

EX:MAX

Violation

Financial Market Violations

X-HI:14%

Penalty

$18,500,000.00

EX:MAX

Year

2015