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Violation Tracker Individual Record

Company: UBS Securities LLC
Current Parent Company: UBS
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $6,640,432
Year: 2010
Date: March 4, 2010
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: 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
Facility State: Texas
HQ Country of Current Parent: Switzerland
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking & securities
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.