Finra is about to launch an initiative that could lead to tougher rules governing the sales of complicated investments that are pitched as a way to increase returns but can be beyond the understanding of an ordinary investor. “We’ve been ...

The Securities and Exchange Commission on Monday ordered UBS Financial Services Inc. to pay more than $8 million for unsuitable sales of investments pegged to market swings. The SEC alleged that between January 2016 and January 2018, UBS financial advisers ...