FINRA recently fined Morgan Stanley Smith Barney, LLC (“MSSB”), $5 million for supervisory failures related to initial public offerings between February 16, 2012 and May 1, 2013. During this time, MSSB sold shares to retail customers in 83 IPOs, including … Continue reading

Erez Law and Aldarondo & Lopez Bras recently filed a claim against UBS Financial Services, Inc. and UBS Financial Services Inc. of Puerto Rico on behalf of a retired man who suffered approximately $4.2 million in losses stemming from closed-end … Continue reading