Mississippi investor Patrick David Ridgeway was awarded $1.1 million by a Finra arbitration panel in his claim against UBS Financial Services. Ridgeway, who sought damages ranging from $1.278 million to $2.526 million, had charged UBS with breach of fiduciary duty; ...

Some of Wall Street’s most well-known brands are snapping up digital startups that cater to younger and more tech-savvy investors, and are ponying up billions of dollars to bring them on board. The UBS Group’s recent $1.4 billion acquisition of ...

The Securities and Exchange Commission has charged German Nino, a former broker and investment adviser representative for UBS Financial Services Inc., with stealing $5.8 million from a client. In a parallel action, the U.S. Attorney’s Office for the Southern District ...

UBS Financial Services Inc. is facing a new lawsuit that claims the firm’s problems with tax reporting on municipal bonds overstated clients’ taxable income, costing clients higher tax bills and creating potential damages. Beginning with the 2014 tax year, UBS ...