The core of the problem stemmed from UBS FSI's use of its Trade Allocation and Processing System (TAPS). The system handled ...

At least 22 representatives or teams frequently traded preferred stocks intended as long-term income vehicles, Finra alleges.

Regulators accused UBS of not doing enough to monitor 22 brokers who generated commissions and sales concessions of syndicate preferred stocks.

UBS FSI has agreed to pay the Financial Industry Regulatory Authority (Finra) $1.1 million to settle charges that for more than 10 years and despite multiple regulatory warnings, the Weehawken, ...

Finra typically issues a flurry of significant settlements with broker-dealers when the calendar turns from one year to the next; both the self-regulator and the brokerage firms Finra oversees want to ...

Between January 2017 and at least December 2018, at least 22 UBS Financial Services registered representatives or ...

After Apple Inc's market share fell in China in the Q3, UBS has now forecast dampening sales in the month of December.

Those investing in AI stocks need to be 'more nimble' in 2025 amid rising regulations, potential product transitions and ...

UBS expects UiPath’s annual recurring revenue (ARR) growth to fall below market expectations through 2026, with further downside risks possible. Brokerage doubts on UiPath's ability to secure ...

Investing.com-- Apple Inc (NASDAQ: AAPL) is likely to see weaker sales of its flagship iPhone in December, UBS analysts said ...