Violation Tracker Individual Record
Company:UBS Financial Services, Inc.
Date:October 28, 2013
Offense Group:financial offenses
Primary Offense:investor protection violation
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
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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