Violation Tracker Individual Record
Company:UBS Securities LLC
Date:March 4, 2010
Offense Group:financial offenses
Primary Offense:investor protection violation
UBS agreed to pay a $6.64 million fine to Texas to settle a case involving investors who were misled about the safety of auction-rate securities and who were left out of a 2008 nationwide settlement.
Level of Government:state
Action Type:agency action
Agency:Texas State Securities Board
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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