Defendant Name:
UBS AG
Defendant Type:
Public Company
SIC Code:
6021
CUSIP:
H8923133
Initial Case Details
Legal Case Name
SEC v. UBS AG
First Document Date
18-Feb-2009
Initial Filing Format
Civil Proceeding
Case Number
09-cv-00316
Allegation Type
Broker Dealer
Federal District Court
District of Columbia, District of Columbia
Violations Alleged
•
Section 15(a) Exchange Act; Section 203(a) Advisers Act
Resolutions
First Resolution Date
18-Feb-2009
Headline Total Penalty and Disgorgement
$200,984,065