Violation Tracker Individual Record
Company:UBS Financial Services, Inc
Date:August 26, 2013
Offense Group:financial offenses
Primary Offense:investor protection violation
UBS agreed to pay more than $4 million to settle multistate litigation that resulted from unregistered personnel accepting orders for the purchase and sale of securities.
Level of Government:state
Action Type:agency action
Agency:Multistate Attorneys General Case
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 of Data:
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