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UBS AG's Unit Agrees To Pay $4.6 Million In Settlement Over Sales Assistants-Reuters

Monday, 26 Aug 2013 04:03pm EDT 

Reuters reported that A unit of UBS AG will pay nearly $4.6 million to settle allegations by multiple state securities regulators that unregistered sales assistants accepted clients' orders to buy and sell securities, New Jersey's highest law enforcement agency announced. 

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