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Violation Tracker Individual Record

Company: UBS Securities LLC
Current Parent CompanyUBS
Parent at the Time of the Penalty Announcement subscribe to see this data field
Penalty: $850,000
Year: 2016
Date: January 22, 2016
Offense Group: financial offenses
Primary Offense: toxic securities abuses
Violation Description: misrepresentation of mortgage-backed securities
Level of Government: state
Action Type: agency action
Agency: Virginia Attorney General
Civil or Criminal Case: civil
Facility State: Virginia
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)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.