Violation Tracker Individual Record
Company:UBS Securities LLC
Date:December 2, 2010
Offense Group:financial offenses
Primary Offense:investor protection violation
UBS Securities agreed to pay $733,465 to resolve allegations that it failed to properly warn investors about the risks of auction-rate securities.
Level of Government:state
Action Type:agency action
Agency:Alaska Division of Banking and Securities
Civil or Criminal Case:civil
HQ Country of Parent:Switzerland
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking & securities
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