2020067603601 UBS Financial Services Inc. CRD 8174 AWC lp (2024-1707092392459).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020067603601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: UBS Financial Services Inc. (Respondent)
Member Firm
CRD No. 8174
Pursuant to FINRA Rule 9216, Respondent UBS Financial Services Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.