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

The Financial Industry Regulatory Authority issued fines against four large banks to end 2024, all for different alleged misconduct, but all related to the firms' failures to implement a supervisory ...

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

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

UBS Financial Services has agreed to pay nearly $3.5 million to settle charges by the Financial Industry Regulatory Authority that it failed to supervise its representatives, allowing them to ...

The year 2024 ended strongly for the Artificial Intelligence space, with the rally powering the key index Nasdaq Composite to strong back-to-back return years. Global financial services firm UBS in a ...

In a report released today, Joseph Spak from UBS maintained a Sell rating on Tesla (TSLA – Research Report), with a price target of $226.00.