Posts Tagged ‘securities law’

State gets settlement funds from UBS for securities law violations

JACKSON — The state of Mississippi has received $60,302 in settlement funds after a multi-state investigation found UBS Financial Services violated state securities laws. Conducted by the North American Securities Administrators Association (NASAA), the investigation revealed several UBS employees sold securities without properly registering with the state. “UBS has acknowledged the need to modify its […] [...]

Recent Posts

Polls

How ready is your business for health care reform?

View Results

The MBJ poll should not be considered a scientific one. Results reflect only the opinion of those who participate.

Loading ... Loading ...

Recent Comments