The $12 billion AUM broker-dealer wants to strengthen relationships with its force of 325 advisors.
The huge broker-dealer made up for a market slump with organic growth and interest rates.
UBS said it had to settle millions in claims because of Robert Earl Turner Jr.'s activities.
Royal Alliance, SagePoint and Securities America should have waived rollover charges, Finra says.
The regulator alleges Mark Sam Kolta overconcentrated his clients in non-traded REITs.
The client said the firm removed large positions in Nvidia and other tech stocks from his accounts to cover its options.
The housing and labor markets are giving mixed signals about how bad a recession would be, they said.
Alternative investments are coming to defined contribution plans, but numerous obstacles to widespread adoption remain.
The claimants said Dana B. Vietor prompted them to invest in a cancer treatment center.
Edward L. Turley was barred by Finra last week after refusing to answer questions about his trading.
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