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The information provided herein is generated by experimental artificial intelligence and is for informational purposes only.
UBS Financial Services Inc. has been fined $1.1 million by FINRA for failing to comply with trade confirmation rules over a decade, involving over 330 million confirmations with misleading disclosures about average trade prices. Despite a warning in 2014, UBS did not rectify the issues until November 2024, raising compliance concerns under the Securities Exchange Act of 1934. The firm also faced penalties for inadequate supervisory procedures and accepted the fine without admitting or denying the allegations.
Flatiron Realty Capital has partnered with UBS O'Connor to establish a co-investment strategy focused on residential transition loans (RTL), aiming to raise up to $100 million. This initiative is expected to expand Flatiron's managed loan portfolio to at least $600 million, capitalizing on favorable market conditions. Janney served as the sole financial advisor for this transaction.
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10:34 31.12.2024
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Robert Talas
Matt Veneri
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Kipp Fawcett
Joshua Mercado
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