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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: $5,000,000
Year: 2018
Date: December 17, 2018
Offense Group: financial offenses
Primary Offense: anti-money-laundering deficiencies
Violation Description: 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 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.