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Violation Tracker Individual Record

Company: UBS Financial Services, Inc.
Current Parent Company: UBS
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $4,503,166
Year: 2006
Date: December 6, 2006
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: UBS agreed to pay up to $4,503,166 in restitution (unclaimed restitution would revert to the company) in settlement of allegations actions that representatives of the company had caused losses for investors.
Level of Government: state
Action Type: agency action
Agency: Montana Commissioner of Securities & Insurance
Civil or Criminal Case: civil
Facility State: Montana
HQ Country of Current Parent: Switzerland
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking & securities
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.