Defendant Name:
UBS Securities LLC
Defendant Type:
Subsidiary of Public Company
Document Reference:
33-9276
Document Details
Legal Case Name
In the Matter of UBS Securities LLC
Document Name
Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision
Document Date
10-Nov-2011
Document Format
Administrative Proceeding
Allegation Type
Market Manipulation
Document Summary
On November 10, 2011, the SEC granted the request of UBS Securities LLC for a waiver pursuant to Rule 602(e) under the Securities Act from the application of the disqualification provision of Rule 602(c)(3) under the Securities Act resulting from the entry of the November 10, 2011 Order.
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Compliance Related Independent Consultant
Various undertakings
Monetary Penalties:
Civil Penalty
Individual:
$8,000,000.00
Shared: