Violation Tracker Individual Record
Company:
UBS Financial Services, Inc.
Current Parent Company:
UBS
Penalty:
$4,503,166
Year:
2006
Date:
December 6, 2006
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Violation Description:
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
Facility State:
Montana
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:
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.
