This document provides a disciplinary history for various financial entities and individuals, detailing actions taken by state authorities for violations of financial regulations. It includes fines, penalties, and other dispositions for entities like UBS Financial Services and individual financial advisors.
doj/DataSet10/EFTA01386101.pdf
{"title":"UR& ES Disciplinary History for Third Party Funds - Distribution Platform","key_people":["Paul Barrett"],"document_date":"2013-09-20","document_type":"tabular","key_locations":["Illinois","New York","Ohio","Nevada","Washington D.C."],"document_subtype":"disciplinary history","key_organizations":["UBS Financial Services","State of Illinois","Secretary of State of 47 States and Washington D.C.","State of New York Department of Insurance","Ohio Division of Securities","State of Nevada"],"reference_numbers":["DB-SDNY-0087648","SDNY_GM_00233832","EFTA01386101"]}