FINRA Fines UBS Over Unjustified Mutual Fund Sales Charges

FINRA Fines UBS Over Unjustified Mutual Fund Sales Charges Posted on Wednesday, August 31, 2016 at 3:19 PM From the Desk of Jim Eccleston at Eccleston Law LLC: FINRA has fined UBS for failing to waive sales charges for approximately 2,700 eligible customers purchasing Class A shares. The omission resulted in charging those clients $277,636 in excess sales charges.Read the full article