Violation Tracker Individual Record
Company:UBS Securities LLC
Date:January 15, 2015
Offense Group:financial offenses
Primary Offense:investor protection violation
The Securities and Exchange Commission announced that a subsidiary of UBS would pay $14.4 million to settle allegations relating to disclosure failures and other securities law violations linked to the operation and marketing of its dark pool.
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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