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Regulatory Actions

UBS FINANCIAL SERVICES INC NFA ID: 0001366

This page includes information regarding the Case History of these matters concerning the person or firm you are researching. It may also include the Outcome if the cases have been resolved regarding this person or firm.
Just like in all legal proceedings, when regulatory actions are resolved, it is almost always by settlement, not adjudication. A settlement may result in the imposition of a penalty without a determination of the merits of the charges or formal findings of wrongdoing. If the particular matter you are interested in has been resolved, please refer to the Narrative, and for certain NFA cases, the decision as provided in the Case Documents summary, to see whether it was adjudicated or settled.
ContributorCase #Action TypeEffective DateCase Outcome
NFA 91BCC00015 • SALES PRACTICE
• GENERAL CONDUCT
09/26/1991 • FINE $25000
NFA 86BCC00002 • GENERAL CONDUCT
03/11/1987 • FINE $15000
NFA 15BCC00006 • FINANCIAL
04/02/2015 • FINE $17500
CFTC 93-3 • CFTC ADMINISTRATIVE ACTION
11/24/1992 • FINE $150000
• COMPLAINT FILED
• CEASE AND DESIST ORDER
CFTC 88-32 • CFTC ADMINISTRATIVE ACTION
09/30/1988 • CEASE AND DESIST ORDER
• FINE $250000
CFTC 86-10 • CFTC ADMINISTRATIVE ACTION
02/24/1986 • CEASE AND DESIST ORDER
• FINE $22500
CBOT 96-RRR-401 • FLOOR RECORDKEEPING
06/20/1997 • FINE $750
CBOT 96-RRR-310 • FLOOR RECORDKEEPING
09/30/1996
CBOT 95-RRR-427 • FLOOR RECORDKEEPING
09/22/1995 • FINE $250
CBOT 95-RRR-397 • FLOOR RECORDKEEPING
09/30/1996 • FINE $750
CBOT 94-EX-01 • FINANCIAL POSITION AND REPORTING
08/16/1994 • FINE $15000
CBOT 91-INV-24 • TRADE PRACTICE
• GENERAL CONDUCT
05/19/1992 • FINE $15000
CBOT 90-EX -04 • OFFICE RECORDKEEPING
• FLOOR RECORDKEEPING
11/30/1990 • FINE $5000
CBOT 89-RRR-248 • OFFICE RECORDKEEPING
04/09/1990 • FINE $1000
CBOT 89-FIN-29 • REGISTRATION
04/10/1989 • FINE $1000
CBOT 88-MSI-11 • GENERAL CONDUCT
10/10/1988 • FINE $25000
CBOT 88-EX -02 • OFFICE RECORDKEEPING
10/25/1988 • FINE $500
CBOT 2001-EX-01 • FINANCIAL POSITION AND REPORTING
10/25/2001 • FINE $5000
CME 93CH9302 • SPECULATIVE POSITION LIMIT
05/04/1993 • FINE $5000
CME 91379BC • FLOOR RECORDKEEPING
10/29/1991 • FINE $35000
CME 91335FP • TRADE PRACTICE
06/25/1991 • FINE $7500
CME 90FPC3010 • TRADE PRACTICE
09/17/1990 • FINE $1000
 
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