11 results

• Investor Arbitration Cases Down 14% So Far This Year: FINRA

  March 2, 2017

  Irvin Jackson

  FINRA reports a significant drop in investment arbitration claims this year, despite an increase throughout 2016.

• UBS Hit with $18M FINRA Verdict Over Puerto Rico Municipal Bonds

  December 7, 2016

  Irvin Jackson

  UBS has been ordered to pay nearly $19 million to a couple who says the company's mismanagement of its Puerto Rico bond funds cost them millions in damages.

• UBS Puerto Rico Bond Fund Fraud Results in $33.5M Fine by FINRA, SEC

  October 5, 2015

  Irvin Jackson

  The SEC and FINRA have fined UBS $33.5 million over its handling of Puerto Rico bond funds.

• Puerto Rico Bond Fund Cases to Move Forward, as Arbitrators Found

  April 16, 2014

  Irvin Jackson

  FINRA has lifted its hold on Puerto Rico bond fund claims, saying it has hired enough arbitrators who are willing to go to Puerto Rico to arbitrate the cases.

• Puerto Rico Bond Arbitration Claims Overwhelming FINRA

  March 13, 2014

  Irvin Jackson

  FINRA has placed a stay on UBS Puerto Rico bond fund claims, saying it doesn't have enough arbitrators to handle the flood of cases.

• UBS Says Puerto Rico Bonds to be Downgraded to Junk

  February 3, 2014

  Irvin Jackson

  Expect junk status for Puerto Rico bonds within a month, UBS analysts warn, as the company is targeted by investors who claim they were defrauded by UBS Puerto Rico bonds.

• UBS Puerto Rico Bond Investor Losses in Billions: Report

  January 13, 2014

  Irvin Jackson

  UBS investor in Puerto Rico Bond funds may have lost $1.66 billion over the first three quarters of 2013, according to a new report.

• Arbitration Claims Filed Over UBS Puerto Rico Bond Funds

  December 18, 2013

  Irvin Jackson

  UBS faces arbitration claims alleging it mislead investors about the safety of Puerto Rico bond funds as the company launches a buyback program to address complaints.

• UBS Puerto Rico Bond Complaint Dismissed by SEC, As Losses Mount

  November 5, 2013

  Russell Maas

  An Administrative law judge has dismissed a complaint against UBS by the SEC over Puerto Rico Municipal Bond Funds.

• SEC Investigating Mutual Fund Losses from Puerto Rico Bonds

  October 29, 2013

  Russell Maas

  The SEC is investigating claims of financial fraud by a number of investment firms involving Puerto Rico bond funds.