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Tag Archives: 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 procedures,” says Secretary of State ...

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