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 »
The SEC filed two actions centered on an advisory firm that serves on high net worth individuals, primarily current and former professional athletes. The actions are based on the theft of client funds and a failure to supervise by the …
SEC Charges Advisory Firm to Sports Figures and Officers With Fraud Read More »