Defendant Name:
UBS Financial Services Inc.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
UBS Group AG
SIC Code:
6021
CUSIP:
H4209710
Document Reference:
34-84828
Document Details
Legal Case Name
In the Matter of UBS Financial Services Inc.
Document Name
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 Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
17-Dec-2018
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
On December 17, 2018, the SEC issued an order against UBS Financial Services Inc. stating: "This matter concerns Respondent's violations of Section 17(a) of the Exchange Act and Rule 17a-8 thereunder in connection with its failure to file suspicious activity reports ("SARs")."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Civil Penalty
Individual:
$5,000,000.00
Shared:
