Skip to main content

The .gov means it's official. Official North Dakota websites will end in .gov. Before sharing sensitive information, make sure you're on a government site.

The site is secure. The https:// ensures that you're connecting to the official website and that any information you provide is encrypted and sent securely.

Automatic translation disclaimer

The State of North Dakota provides automatic translation for nd.gov websites, courtesy of Google Translate. Please remember that the English language version is considered the most accurate. In the event of a disagreement or discrepancy between the translation and the original English version of this website or any notice or disclaimer, the original version will prevail.

INS SEC Logo
InsuranceState Fire Marshal
988
Main navigation
  • For Investors
    • How to File a Complaint
    • Investor Restitution Assistance Fund
    • Investor Alerts and Advisories
    • Be a Prepared Investor
    • Check BEFORE You Invest
    • Investor Bill of Rights
    • Helpful Links
    • Investment Fraud and Enforcement
  • For Industry Professionals
    • Broker-Dealers and Agents
    • Investment Advisers and IA Representatives
    • Investment Adviser Guidebook
    • IAR Continuing Education
    • Investment Advisers - Notice Filers
    • Canadian Broker-Dealer
    • Forms, Links, and Laws - Industry
  • Filing & Registration
    • Franchise Registration and Renewal
    • Securities Registration
    • Registration Exemptions
    • Federal Covered Securities
    • Issuer-Dealer and Issuer-Dealer Agents
    • Pre-need Funeral Service Contracts
    • Forms, Links, and Laws - Securities
  • Department Information
    • Commissioner
    • Securities Team
    • Enforcement Actions
    • Laws and Rules
    • Orders Issued by the Commissioner
    • News
  • Resources
    • Links to Other Regulators
    • Guide to Raising Capital
    • Investor Restitution Assistance Fund
  • Contact Us
Main navigation Mobile
Main Menu
  • For Investors
    For Investors
    • How to File a Complaint
    • Investor Restitution Assistance Fund
    • Investor Alerts and Advisories
    • Be a Prepared Investor
    • Check BEFORE You Invest
    • Investor Bill of Rights
    • Helpful Links
    • Investment Fraud and Enforcement
      Investment Fraud and Enforcement
      • Protect Your Investment
      • Red Flags of Fraud
  • For Industry Professionals
    For Industry Professionals
    • Broker-Dealers and Agents
    • Investment Advisers and IA Representatives
    • Investment Adviser Guidebook
    • IAR Continuing Education
    • Investment Advisers - Notice Filers
    • Canadian Broker-Dealer
    • Forms, Links, and Laws - Industry
  • Filing & Registration
    Filing & Registration
    • Franchise Registration and Renewal
      Franchise Registration and Renewal
      • Notice of Exemption
      • Forms, Links, and Laws - Franchise
    • Securities Registration
    • Registration Exemptions
    • Federal Covered Securities
    • Issuer-Dealer and Issuer-Dealer Agents
    • Pre-need Funeral Service Contracts
    • Forms, Links, and Laws - Securities
  • Department Information
    Department Information
    • Commissioner
    • Securities Team
    • Enforcement Actions
    • Laws and Rules
    • Orders Issued by the Commissioner
    • News
  • Resources
    Resources
    • Links to Other Regulators
    • Guide to Raising Capital
    • Investor Restitution Assistance Fund
  • Contact Us
  • InsuranceState Fire Marshal
    988
    Suicide & Crisis
    Lifeline
Breadcrumb
  1. Home
  2. News
  3. UBS Warburg LLC, UBS PaineWebber Inc. - Administrative Consent Order

UBS Warburg LLC, UBS PaineWebber Inc. - Administrative Consent Order

« All News
Friday, October 10, 2003
Categories:
Enforcement Actions

Subject(s) of Order: UBS Warburg LLC

Order Type(s):

  • Administrative Consent Order

ubs-warburg-llc-ubs-painewebber-inc-administrative-consent-order.pdf
« All News
  • Share this Page:

Footer

Copyright © 2021 ND Insurance & Securities Department
600 East Boulevard Avenue, State Capitol, 5th Floor
Bismarck, ND 58505-0510 | 701.328.2910

Subscribe to News and Alerts

  • Contact
  • Accessibility
  • Disclaimer
  • Privacy Policy
  • Security Policy
Be Legendary Logo White Version