Tag Archives: UBS Financial Services

The SEC Has Charged UBS Financial Services With the Failure to Adequately Supervise its Sales Staff

The Securities and Exchange Commission (SEC) recently reached a $15 million settlement with the financial services giant UBS. The settlement came in relation to charges that the company failed to adequately educate, train and supervise members of its sales team. As a result of these failures, sales representatives were unable to fairly inform clients… Read More »