Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: UBS Financial Services, Inc.
Current Parent Company: UBS
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $70,077
Year: 2013
Date: October 28, 2013
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: UBS agreed to pay $70,077 in settlement of allegations it failed to ensure that its agents were properly registered in Delaware and other states.
Level of Government: state
Action Type: agency action
Agency: Delaware Attorney General
Civil or Criminal Case: civil
Facility State: Delaware
HQ Country of Current Parent: Switzerland
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking & securities
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.