Basic Search
|
Summaries
|
Advanced SearchViolation Tracker Individual Record
Company: UBS O'Connor, LLC
Current Parent Company:
UBS
Parent at the Time of the Penalty Announcement:
subscribe to see this data field
Penalty: $5,297,716
Year: 2013
Date: June 3, 2013
Offense Group: financial offenses
Primary Offense: investor protection violation
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
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.