Violation Tracker Individual Record
Company:UBS Financial Services, Inc.
Date:December 6, 2006
Offense Group:financial offenses
Primary Offense:investor protection violation
UBS agreed to pay up to $4,503,166 in restitution (unclaimed restitution would revert to the company) in settlement of allegations actions that representatives of the company had caused losses for investors.
Level of Government:state
Action Type:agency action
Agency:Montana Commissioner of Securities & Insurance
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
Source of Data:
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