Updated Monday, May 20, 2013 as of 1:28 AM ET
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SEC Charges UBS Unit, Two Execs With Mishandling Closed-End Funds
Lorie Konish
UBS Financial Services Inc. of Puerto Rico and two of its executives have been charged by the SEC with misleading investors and its own financial advisors about the market risks associated with the sales of 23 closed-end mutual funds.
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