Violation Tracker Individual Record

Company: 
UBS AG
Current Parent Company: 
UBS
Penalty: 
$130,000
Year: 
2010
Date: 
February 24, 2010
Primary Offense: 
securities issuance or trading violation
Level of Government: 
federal
Action Type: 
agency action
Agency: 
Commodity Futures Trading Commission
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
Source Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.