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.

Key Docs
Official SEC press release

Find more cases

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

Thank you for submitting some email to us.