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A FINRA panel ordered the wirehouse to pay a client $95,000 for losses relating to bonds issued by the island commonwealth. By contrast, UBS says it faces more than $1 billion in similar claims.
February 1
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The Shanghai Index slid more than 6% after outflows from China reached a record $1 trillion last year, more than seven times that of 2014.
January 26
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The firm suffered another arbitration loss this week to clients seeking damages related to the firm's closed-end funds of Puerto Rico municipal bonds.
September 1
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An arbitration panel ordered the wirehouse to pay two former clients $250,000, a mere 10% of what they originally sought, in a case involving the sale of funds of Puerto Rican municipal bonds.
August 4
