UBS Financial Services Stock Losses

UBS Financial Services is a Switzerland based financial services company with financial advisors working in over 50 countries.

 

If you have lost $100,000 or more investing with UBS Financial Services, call 1-800-934-2921 right now to protect your rights.

UBS has been subject to multiple regulatory inquiries from the SEC, and FINRA, which include the following:

- UBS fined by the SEC for improper short sale record keeping.

http://www.onwallstreet.com/news/sec-fines-ubs-securities-short-sales-2675952-1.html?zkDo=emailArticlePrompt

- UBS fined by the SEC for overvaluing mortgage backed investments.

http://www.mmexecutive.com/news/UBS_SEC_fine_NAV_mortgage-backed_fair_value-226646-1.html

- UBS fined $1.5 million for improper supervision of leveraged and inverse ETF sales to investors.

http://www.businessweek.com/news/2012-05-01/finra-fines-citigroup-morgan-stanley-over-leveraged-etf-sales

- UBS fined $2.5 million by FINRA for misleading investors regarding the risks of Lehman Brothers principal protected note investments.

http://www.finra.org/Newsroom/NewsReleases/2011/P123479

- UBS trader fined for moving money and trades between accounts to hide investment losses.

http://www.sfgate.com/cgi-bin/article.cgi?f=/g/a/2012/05/21/bloomberg_articlesM4DBIJ6JIJVH01-M4DWR.DTL

UBS Financial Services losses? Contact us to protect your rights.

If you have lost $100,000 or more investing with UBS Financial Services, you may have a claim for recovery. Complete the form on this page or call 1-800-934-2921 for a free no obligation consultation with a lawyer. We work on a contingency basis, so rest assured that there will never be an out of pocket expense to you.