Monday, September 12, 2016

$750,000 Rivera-Rivera v UBS of Puerto Rico Award

In September 2016, a FINRA arbitration panel in San Juan, PR ordered UBS Financial Services and UBS Financial Services of Puerto Rico to pay $750,000 in compensatory damages. You can read the award here. Dr. O'Neal testified on liability over UBS Puerto Rico's sale of UBS Puerto Rico municipal closed end bond funds.

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