Defendant Name:
UBS Financial Services Inc.
Defendant Type:
Subsidiary of Public Company
Document Reference:
2022-131_3-20937
Document Details
Legal Case Name
In the Matter of UBS Financial Services Inc.
Document Name
SEC Charges JP Morgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Theft
Document Date
27-Jul-2022
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
Additional Investigating Office: Crypto Assets and Cyber Unit
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Monetary Penalties:
Civil Penalty
Individual:
$925,000.00
Shared: