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UBS Financial Services, Inc.

UBS Financial Services, Inc. (CRD #8174, Weehawken, New Jersey) received a censure and fine of $175,000. The firm was also required to pay restitution to public customers. According to the findings, the firm sold securities to public customers for whom the investment was unsuitable. The NASD also stated that the firm failed to maintain records disclosing the basis upon which its suitability determinations were made in its recommendations and sales to public customers of certain securities. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CE3050009)

Did UBS Financial Services, Inc. manage your investments?



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