Violation Tracker Individual Record
Company:UBS Financial Services, Inc.
Date:October 14, 2013
Offense Group:financial offenses
Primary Offense:investor protection violation
Multi-state litigation. Penalty amount is share of total going to Alaska.
Level of Government:state
Action Type:agency action
Agency:Alaska Division of Banking and Securities
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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