UBS Securities, LLC
Date of Initial Action: 04/23/2010
Date of Most Recent Action: 04/23/2010
Browse Actions and Orders
This page contains desist and refrain orders, civil actions, administrative actions, and hearing decisions issued by the Commissioner of the Department of Financial Protection and Innovation (DFPI) from January 1, 2002, to the present. These actions are against individuals and entities under DFPI jurisdiction. Visit Summary of Actions and Orders for a listing of recent actions by month. For assistance regarding these results, please contact us.
21-30 of 155 Results
Listed by Entity , Date of Initial Action , and Date of Most Recent Action
UCA Escrow, Inc.
Date of Initial Action: 02/18/2015
Date of Most Recent Action: 04/28/2016
UFC Funding Corporation
Date of Initial Action: 02/07/2023
Date of Most Recent Action: 02/07/2023
UFG Group, Inc. dba United Franchise Group
Date of Initial Action: 03/04/2022
Date of Most Recent Action: 03/04/2022
UFGI Funding, Inc. – 6038099 UFGI Funding, Inc. – 603C885
Date of Initial Action: 05/12/2010
Date of Most Recent Action: 05/12/2010
UFS
Date of Initial Action: 06/30/2008
Date of Most Recent Action: 06/30/2008
Uktripledeal.net
Date of Initial Action: 02/11/2005
Date of Most Recent Action: 02/11/2005
Ukworldtripledeal.com (PDF)
Date of Initial Action: 01/19/2005
Date of Most Recent Action: 01/19/2005
Ulberg, Cheryl L.
Date of Initial Action: 12/24/2002
Date of Most Recent Action: 12/24/2002
ULM, Inc. 603A100 603A429 603A510
Date of Initial Action: 11/07/2006
Date of Most Recent Action: 11/07/2006