A panel of Financial Industry Regulatory Authority arbitrators sided with The David and Heather Weir Family Trust in their dispute with UBS Financial Services, ThinkAdvisor reports. The case involved UBS’s Yield Enhancement Strategy, a managed-account options strategy...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: June 2022
SEC proposes new rules to prevent misleading ESG claims
The Securities and Exchange Commission is proposing new rules to prevent misleading claims about funds’ environmental, social or governance (ESG) credentials, AdvisorHub reports. The SEC said the amendments are designed to promote consistent, comparable and reliable...