UBS Financial Services, Inc.
License or Case Number: 12402;
Date of Initial Action: 10/04/13
Defendants/Respondents: UBS Financial Services, Inc.
Documents:
- Findings of Fact, Conclusions of Law, Administrative Consent Order (also UBS Securities, LLC)
- Consent Order
About the Licensee status
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If you have further questions or need more assistance, please call the DFPI's Consumer Services Office at: 1-866-275-2677.