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