Michael James Keane and UBS Jointly Liable for $805,120 Award for Unsuitable Investments
Adam J. Marquardt
April 23, 2018
After a hearing, an arbitration panel found ex-broker Michael James Keane and his former firm, UBS Financial Services Inc., jointly liable for two customers’ losses of $805,120. The Financial Industry Regulatory Authority, Inc. (FINRA) announced the award on April 6, 2018. According to FINRA records, the customers alleged that between May 2008 and November 2015,
