Defendant Name:
UBS Financial Services Inc.
Defendant Type:
Subsidiary of Public Company
Document Reference:
34-84828-s
Document Details
Legal Case Name
In the Matter of UBS Financial Services Inc.
Document Name
SEC Charges UBS Financial Services Inc. with Anti-Money Laundering Violations
Document Date
17-Dec-2018
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
The SEC stated that: "[It] settled charges against broker-dealer UBS Financial Services Inc. for failing to report suspicious transactions in customer accounts."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Monetary Penalties:
Civil Penalty
Individual:
$5,000,000.00
Shared: