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FINRA Fines UBS For Missing Rep's $7.2M Sell-Away Scheme

By Emilie Ruscoe (July 9, 2024, 11:01 PM EDT) -- The Financial Industry Regulatory Authority has fined UBS Financial Services Inc. $850,000 as part of a deal to resolve allegations that the firm failed to detect for more than two decades one of its representative's outside sales of mismarketed securities to his UBS clients....

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