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The Top SEC Settlements of 2011

By Joel Stonington - 2012-01-03T23:18:44Z

Photograph by Simon Dawson/Bloomberg

Company Symbol % Change
14 of 22

No. 8: UBS Financial Services

<strong>Total Settlement: </strong>$47.2 million<br /><strong>Disgorgement:</strong> $14.7 million<br /><strong>Penalty:</strong> $32.5 million

UBS Financial Services <a href="">settled with the SEC</a> on allegations of bid rigging in the municipal bond market. In addition to $47.2 million paid to the SEC, UBS paid $113 million to other state and federal authorities. In the cases related to fraud in the municipal bond market, the Justice Dept. has charged 18 individuals with crimes. Of those, four are former UBS employees, including one who has pleaded guilty to criminal charges.