Violation Tracker Individual Record
Company:
UBS Financial Services, Inc.
Current Parent Company:
UBS
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 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.
