UBS Fined for Failing to Educate Brokers on Complex Product Sales

UBS Fined for Failing to Educate Brokers on Complex Product Sales Posted on Monday, October 17, 2016 at 10:57 AM From the Desk of Jim Eccleston at Eccleston Law LLC: The SEC has fined UBS Financial Services over $15 million because of its failure from 2011 to 2014 to educate and train retail brokers on the sale of almost $11 billion of complex structured products.Read the full article