Defendant Name:
UBS Financial Services Inc.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
UBS Group AG
SIC Code:
6021
CUSIP:
H4209710
Initial Case Details
Legal Case Name
In the Matter of UBS Financial Services Inc.
First Document Date
19-Jul-2021
Initial Filing Format
Administrative Action
File Number
3-20401
Allegation Type
Investment Advisers/Investment Companies
Violations Alleged
•
Section 206(4) Advisers Act; Rules 206(4)-7 Advisers Act
Resolutions
First Resolution Date
19-Jul-2021