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Swiss Bank UBS Agrees To Pay $780M And To Settle SEC Charges For Violating Registration Requirements - 02/18/2009

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Lawsuit Overview

According to the U.S. Securities and Exchange Commission (“SEC”) the SEC filed an enforcement action against UBS AG, charging the firm with acting as an unregistered broker-dealer and investment adviser. The SEC's complaint, filed in the U.S. District Court for the District of Columbia, alleges that UBS's conduct facilitated the ability of certain U.S. clients to maintain undisclosed ...



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