Violation Tracker Individual Record

Company: 
UBS Financial Services Inc.
Current Parent Company: 
UBS
Penalty: 
$6,246
Year: 
2018
Date: 
February 10, 2018
Primary Offense: 
wage and hour violation
Secondary Offense: 
overtime violation
Level of Government: 
federal
Action Type: 
agency action
Agency: 
Labor Department Wage and Hour Division
Civil or Criminal Case: 
civil
Case ID: 
1830738
Facility State: 
New York
Facility City: 
Rochester
Facility Address: 
400 Linden Oaks
Facility Zip: 
14625
Facility NAICS: 
522320: Financial Transactions Processing, Reserve, and Clearinghouse Activities
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: 

August 24, 2018 download of a dataset posted by the Wage and Hour Division at https://enforcedata.dol.gov/views/data_summary.php

Notes: 

Date and year are the Findings End Date in the dataset posted by the Wage and Hour Division, which does not provide case opening or closing dates. The company name is the Legal Name provided by the dataset unless that field is blank, in which case the Trade Name is used. The dataset provides only one address and does not indicate whether it is the company headquarters address or the establishment address. The penalty amount is the total of civil monetary penalties and mandated back wages. The original dataset provides a breakdown.

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.