Violation Tracker Individual Record

Company: 
UBS Financial Services Inc.
Current Parent Company: 
UBS
Penalty: 
$4,621,768
Year: 
2004
Date: 
February 12, 2004
Primary Offense: 
securities issuance or trading violation
Violation Description: 

The SEC announced enforcement and disciplinary actions against a total of 15 firms for failure to deliver mutual fund breakpoint discounts during 2001 and 2002.

Level of Government: 
federal
Action Type: 
agency action
Agency: 
Securities and Exchange 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.