FINRA Disciplinary Actions Online
Displaying 1 - 1 of 1
| Case ID | Case Summary | Document Type | Firms/ Individuals | Action Date Sort ascending |
|---|---|---|---|---|
| 2016050211701 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016050211701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Securities LLC (Respondent) Member Firm CRD No. 7654 Pursuant to FINRA Rule 9216, Respondent UBS Securities LLC (UBS) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC. | AWCs (Letters of Acceptance, Waiver, and Consent) | UBS Securities LLC |
10/03/2022 |