Tag: fraud

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 »

Tagged with: , , , ,

The SEC has long sought to enlist professionals as the advance guard of its Enforcement Division. The point is understandable: auditors, attorneys and other professional consultants are typically at the company long before Commission investigators and often have a better …

The SEC, Gatekeepers and Saying Something Read More »

Tagged with: , , , ,