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FINRA Suspends Ex-UBS Broker For Unauthorized $5M Trade

By Pete Brush ( May 25, 2016, 7:42 PM EDT) -- A former UBS Financial Services Inc. broker has agreed to a $15,000 fine and nine-month suspension from working with a Financial Industry Regulatory Authority member firm after placing an unauthorized $5 million trade and trying to cover his tracks, according to a Tuesday FINRA filing. ...

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