Defendant Name: UBS Financial Services Inc.

Defendant Type: Subsidiary of Public Company
Public Company Parent: UBS Group AG
SIC Code: 6159
CUSIP: H4209710

Initial Case Details

Legal Case Name In the Matter of UBS Financial Services Inc.
First Document Date 03-Aug-2026
Initial Filing Format Administrative Action
File Number 3-22665
Allegation Type Broker Dealer

Violations Alleged

Other
• Section 17(a) Exchange Act; Rule 17a-8 Exchange Act

Resolutions

First Resolution Date 03-Aug-2026
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-106026 03-Aug-2026 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisors Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
On August 3, 2026, the SEC instituted settled administrative and cease-and-desist proceedings against UBS Financial Services, stating: "UBS failed to timely file certain suspicious activity reports ("SARs") in violation of the broker-dealer books and records provisions of Section 17(a) of the Exchange Act and Rule 17a-8 thereunder."
34-106026-s 03-Aug-2026 Administrative Summary
SEC Institutes Settled Order Against Registered Broker-Dealer UBS Financial Services Inc. for Failing to Timely File Suspicious Activity Reports
On August 3, 2026, the SEC "announced settled charges . . . against dual-registered broker-dealer and investment advisor UBS Financial Services Inc. (UBSFS) for failing to timely file Suspicious Activity Reports (SARs)."