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Delaware News



 Pages Tagged With: "Investor Protection Unit"

Delaware reaches settlement with brokerage firm over allegations it violated securities laws

Attorney General Beau Biden announced today that UBS Financial Services, Inc. has paid the Delaware Department of Justice $70,077 as a result of a settlement with the Attorney General’s Investor Protection Unit. The settlement resolves a multi-state investigation which found that UBS failed to ensure that its agents were properly registered in Delaware and other states.




Biden Orders Halt to Profitable Sunrise Investment Scheme in Delaware

Attorney General Beau Biden today announced that his office has issued an order prohibiting the operators of an international online investment scheme from selling investments in Delaware.







 Pages Tagged With: "Investor Protection Unit"

Delaware reaches settlement with brokerage firm over allegations it violated securities laws

Attorney General Beau Biden announced today that UBS Financial Services, Inc. has paid the Delaware Department of Justice $70,077 as a result of a settlement with the Attorney General’s Investor Protection Unit. The settlement resolves a multi-state investigation which found that UBS failed to ensure that its agents were properly registered in Delaware and other states.




Biden Orders Halt to Profitable Sunrise Investment Scheme in Delaware

Attorney General Beau Biden today announced that his office has issued an order prohibiting the operators of an international online investment scheme from selling investments in Delaware.