Violation Tracker Individual Record
Company:UBS Financial Services Inc.
Date:July 20, 2020
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:financial institution supervision failures
UBS Financial Services Inc. agreed to pay $10 million to resolve allegations that it circumvented the priority given to retail investors in certain municipal bond offerings.
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 of Data:
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