Defendant Name:
UBS Financial Services Inc.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
UBS Group AG
SIC Code:
6159
CUSIP:
H4209710
Document Reference:
34-106026
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 Advisors Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
03-Aug-2026
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
On August 3, 2026, the SEC instituted settled administrative and cease-and-desist proceedings against UBS Financial Services, stating: "UBS failed to timely file certain suspicious activity reports ("SARs") in violation of the broker-dealer books and records provisions of Section 17(a) of the Exchange Act and Rule 17a-8 thereunder."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Other Compliance Related Undertaking
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Civil Penalty
Individual:
$20,000,000.00
Shared:
