Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

PAINEWEBBER; UBS; UBS AMERICAS; UBS AS SUCCESSOR TO PIPER JAFFRAY; UBS Financial Services, Inc. and UBS Securities LLC; UBS FINANCIAL SVC OF PUERTO RICO; UBS FUND ADVISOR; UBS GLOBAL ASSET MANAGEMENT; UBS OCONNOR LLC; UBS PAINEWEBBER; UBS SECURITIES JAPAN; UBS Securities LLC and UBS Financial Services, Inc.; UBS USA; UBS Warburg and UBS PaineWebber; UBS Warburg LLC; UBS WILLOW MGT AND UBS FUND ADVISOR; WARBURG DILLON READ

For an overview of this company's accountability track record, read its Corporate Rap Sheet here.

Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.