{"id":2976,"date":"2015-08-10T00:00:00","date_gmt":"2015-08-10T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/ubs-puerto-rico-under-federal-investigation-for-alleged-violations\/"},"modified":"2015-08-10T00:00:00","modified_gmt":"2015-08-10T04:00:00","slug":"ubs-puerto-rico-under-federal-investigation-for-alleged-violations","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/ubs-puerto-rico-under-federal-investigation-for-alleged-violations\/","title":{"rendered":"UBS Puerto Rico Under Federal Investigation for Alleged Violations"},"content":{"rendered":"

\"UBS<\/a><\/h2>\n

<\/h2>\n

Investigation focuses on one UBS financial adviser in particular<\/h2>\n<\/p>\n

In a securities filing on July 28, 2015, the Swiss banking giant UBS AG reported that federal authorities are investigating one of its financial advisers and some of its customers for allegedly violating loan agreements and bank policies in Puerto Rico.<\/p>\n

According to a Law360 release<\/a>, the bank\u2019s \u201csecond-quarter report included the news that it is responding to requests from the U.S. Securities and Exchange Commission and was aware of a U.S. Department of Justice criminal inquiry into the practice of unnamed customers and a UBS financial adviser of using loans backed by securities to invest in more securities, which is prohibited by bank policy and regulation.\u201d<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Investigation focuses on one UBS financial adviser in particular In a securities filing on July 28, 2015, the Swiss banking giant UBS AG reported that federal authorities are investigating one of its financial advisers and some of its customers for allegedly violating loan agreements and bank policies in Puerto Rico. According to a Law360 release, […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[],"class_list":["post-2976","post","type-post","status-publish","format-standard","hentry","category-all-releases"],"yoast_head":"\nUBS Puerto Rico Under Federal Investigation for Alleged Violations — Securities Arbitration Lawyers Blog — August 10, 2015<\/title>\n<meta name=\"description\" content=\"Read this article on UBS Puerto Rico Under Federal Investigation for Alleged Violations on silverlaw,com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/ubs-puerto-rico-under-federal-investigation-for-alleged-violations\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta 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