Regulation

New rules for funds and managers, disclosure and ESG requirements, tax and legal changes, and enforcement actions affecting how investment products are structured and marketed.
Court affirms $95.3M FINRA award against UBS

Court affirms $95.3M FINRA award against UBS

A federal judge confirmed a $95.3 million FINRA arbitration award against UBS over an advisor’s recommendation to short Tesla, denying the bank’s request to reduce or vacate it.

No posts found!