Violation Tracker Individual Record
Company:UBS Securities LLC
Date:November 10, 2011
Primary Offense:securities issuance or trading violation
The Securities and Exchange Commission announced that UBS Securities LLC would pay $8 million to settle allegations involving the execution of short sales.
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 Notes:If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.