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UBS Pays Former Compliance Officer $14.1 Million after 4 Years of Lawsuit, Fired for Junior Broker Naked Options $3.7 Million Trading Loss
22nd April 2022 | Hong Kong
UBS Wealth Management (United States) has paid former compliance officer (Mark Munizzi) $14.1 million after 4 years of lawsuits for defamation comments during his termination filing. The former UBS compliance officer Mark Munizzi was one of a few employees fired in 2018 for failing to supervise options strategy in accounts which resulted in $3.7 million of naked options trading losses (uncovered options) in employee-related accounts executed by a junior broker. The UBS compliance officer (Mark Munizzi) filed for defamation and had won $11.1 million in 2019, but UBS continued to appeal. On 31st March 2022, a United States court denied UBS further appeal and the $11.1 million accrued to $14.1 million including legal fees. Mark Munizzi had earned $200,000 salary a year before his termination and his lawyer said:”He hasn’t gotten a job, or even gotten an interview.”
“ UBS Pays Former Compliance Officer $14.1 Million, Fired for Junior Broker Naked Options $3.7 Million Trading Loss “
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About UBS
UBS provides financial advice and solutions to wealthy, institutional and corporate clients worldwide, as well as private clients in Switzerland. UBS is the largest truly global wealth manager, and a leading personal and corporate bank in Switzerland, with a large-scale and diversified global asset manager and a focused investment bank. The bank focuses on businesses that have a strong competitive position in their targeted markets, are capital efficient, and have an attractive long-term structural growth or profitability outlook.
Headquartered in Zurich, Switzerland, UBS has offices over 50 regions and locations, including all major financial centers, and employs more than 72,000 people around the world. UBS Group AG is the holding company of the UBS Group. Under Swiss company law, UBS Group AG is organized as an Aktiengesellschaft, a corporation that has issued shares of common stock to investors.
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