Defendant Name:
UBS Securities LLC
Defendant Type:
Subsidiary of Public Company
Document Reference:
judge18112
Document Details
Legal Case Name
SEC v. Defendant UBS Securities LLC, f/k/a UBS Warburg LLC
Document Name
Final Judgment as to Defendant UBS Securities LLC, f/k/a UBS Warburg LLC
Document Date
31-Oct-2003
Document Format
Civil Proceeding
Case Number
03-cv-02943
Federal District Court
New York, Southern District of New York
Federal District Judge
William H. Pauley III
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Resolutions
Enjoinment
Compliance Related Independent Consultant
Plan of Distribution
Monetary Penalties:
Disgorgement
Individual:
$25,000,000.00
Shared:
Civil Penalty
Individual:
$25,000,000.00
Shared:
Independent Research ($25M); Investor Education ($5M)
Individual:
$30,000,000.00
Shared:
Total Penalty
Individual:
$80,000,000.00
Shared: