SEC
Whistleblower
Attorneys

December 17, 2018

UBS Financial Services Inc.

Financial Fraud

SANCTION AMOUNT: $5000000

Defendants: UBS Financial Services Inc.

Settlement of allegations that Respondent failed to file a number of Suspicious Activity Reports (SARs), and did not properly review suspicious transactions flagged by its internal monitoring systems.

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal and NPR
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