Violation Tracker Individual Record
Company:UBS Financial Services Inc.
Date:December 17, 2018
Offense Group:financial offenses
Primary Offense:anti-money-laundering deficiencies
UBS consented to a penalty of $14.5 million, $9 million of which was to be satisfied by related penalties imposed by the SEC and FINRA.
Level of Government:federal
Action Type:agency action
Agency:Treasury Department Financial Crimes Enforcement Network
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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