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UBS Pays $25M To Settle Charges Involving Yield Enhancement Strategy : comparemela.com
UBS Pays $25M To Settle Charges Involving Yield Enhancement Strategy
UBS will pay $25M to settle SEC charges that the firm sold a yield enhancement strategy to 600 investors without adequately training advisors.
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Enforcement Division Complex Financial Instruments Unit
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Financial Industry Regulatory Authority
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Complex Financial Instruments Unit
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