Year: 2017

SEC Sanctions UBS Re Sales Practices

The Commission has brought a series of cases involving investment advisers, broker-dealers and the fees charges to clients. Typically the clients are disadvantaged by not being informed about or given the opportunity to purchase mutual fund shares at the most

Tagged with: , ,

This Week In Securities Litigation (Week ending Oct. 27, 2017)

In the U.K. three F.H. Bertling executives were sentenced on corruption charges. An HSBC senior executive based in London was convicted by a New York jury for front running a client in the currency markets. The Commission issued no action

Tagged with: , , , ,