Violation Tracker Individual Record
Company:UBS Financial Services Inc.
Date:December 1, 2014
Offense Group:financial offenses
Primary Offense:investor protection violation
Level of Government:state
Action Type:agency action
Agency:Vermont Department of Financial Regulation
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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