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promissory note

Oct 25, 2018

In the News: Fired UBS Broker Gets to Keep Half-Million-Dollar Note Balance

It was reported yesterday in AdvisorHub (Fired UBS Broker, a Hunting Show Host, Gets to Keep His Half-Million-Dollar Note Balance by Mason Braswell) that UBS was unable to enforce repayment of the outstanding balance on its promissory note in a FINRA arbitration against a broker it terminated for allegedly violating conflict of interest policies – failing to disclose client relationships. » Read More

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