Tag: Brokers

Brokers

UBS Pulls a Fast One on its Own Employees

Only a few months after withdrawing from the Protocol, UBS Financial Services is requiring brokers waiting for their 2017 bonuses to sign agreements that open them to lawsuits and arbitration complaints if they try to contact former clients within 12 months of leaving the U.S. broker-dealer unit of the Swiss bank. […]

Brokers

Financial Adviser Legal Information Center

Ed: This section of SECLaw.com brings together commentary, news and links of interest to financial advisers.  Featured Books Securities Litigation and Enforcement in a Nutshell – The 2nd edition of the Securities Litigation and Enforcement Nutshell focuses on an area of law that burgeoned nearly two decades ago after the […]