The document outlines disciplinary actions and settlements involving UBS Financial Services Inc. related to various allegations, including unsuitable sales of Lehman Structured Products, violations in municipal reinvestment and derivatives, and issues with Auction Rate Securities and fee-based brokerage accounts.
doj/DataSet10/EFTA01386100.pdf
{"title":"UBS Financial Services Inc. Disciplinary History","key_people":["Paul Barrett"],"document_date":"2013-09-20","document_type":"financial","key_locations":["New Hampshire","New York"],"document_subtype":"Disclosure Statement","key_organizations":["UBS Financial Services Inc.","New Hampshire Bureau of Securities Regulation","SEC","IRS","DOJ","State Attorney General","Securities and Exchange Commission","Massachusetts Securities Division","New York State Attorney General","North American Securities Administrators Association"],"reference_numbers":["DB-SDNY-0087647","SDNY_GM_00233831","EFTA01386100"]}