(AP) WASHINGTON — UBS Securities LLC has agreed to pay an $8 million penalty to settle charges by the Securities and Exchange Commission that it failed to accurately maintain documents related to its stock short sales business. ... UBS to pay $8M penalty on recording of short sales
Wednesday, November 9, 2011
UBS to pay $8M penalty on recording of short sales
(AP) WASHINGTON — UBS Securities LLC has agreed to pay an $8 million penalty to settle charges by the Securities and Exchange Commission that it failed to accurately maintain documents related to its stock short sales business. ... UBS to pay $8M penalty on recording of short sales
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