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UBS Warburg LLC

UBS Warburg LLC (CRD #7654, Stamford, Connecticut) received a censure and fine of $112,500. According to the findings, the firm incorrectly designated as ".PRP" through ACT reports of transactions in NNM securities for which the execution price was not based on a prior reference point in time. Additionally, the regulators found that the firm failed to display immediately customer limit orders in Nasdaq securities in its public quotation when each such order was at a price that would have improved the firm's bid or offer in each such security; or when the order was priced equal to the firm's bid or offer and the national best bid or offer for each such security, and the size of the order represented more than a de minimis change in relation to the size associated with the firm's bid or offer in each such security. The firm accepted the fine and censure but did not admit or deny the accusations.

Did UBS Warburg LLC manage your investments?



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