Violation Tracker Individual Record
Company:UBS Financial Services Inc.
Date:September 19, 2013
Offense Group:financial offenses
Primary Offense:investor protection violation
UBS agreed to pay $4.6 million to settle multistate litigation alleging it failed to make sure that its client service associates were licensed and in compliance with state regulations.
Level of Government:state
Action Type:agency action
Agency:Multistate Financial Regulators 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
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