Violation Tracker Individual Record

Company: 
UBS Financial Services, Inc.
Current Parent Company: 
UBS
Penalty: 
$64,661
Year: 
2013
Date: 
October 14, 2013
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

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
Facility State: 
Alaska
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.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.