Year: 2015

The SEC filed a settled insider trading case which names as defendants two attorneys, an accountant and two other individuals. The action is based on information misappropriated from a corporate director by his personal professional advisers. SEC v. Spallina, Civil …

Five Settle Insider Trading Charges with SEC Read More »

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When the bond market collapsed in Puerto Rico many clients at UBS Financial Services Incorporated of Puerto Rico had significant losses. Many had purchased shares of UBS PR closed-end funds or CEFs. UBSPR had been selling shares of these funds …

UBS Puerto Rico, Others Tied to SEC Fraud Action Read More »

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