Arbitration Award

Michael James Keane and UBS Jointly Liable for $805,120 Award for Unsuitable Investments

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,

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