Violation Tracker Individual Record
Company:UBS Securities LLC
Date:November 10, 2011
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary 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
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