SEC
Whistleblower
Attorneys

October 27, 2017

UBS Financial Services Inc.

Trading and Pricing

SANCTION AMOUNT: $3500000

Defendants: UBS Financial Services Inc.

Respondent broker-dealer/investment adviser agreed to settle charges that it failed to provide certain retail retirement and charitable brokerage accounts with sales charge waivers and/or lower fee share classes when selling certain mutual funds.

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