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Violation Tracker Current Parent Headquarters Summary Page

HQ Country: Switzerland
Current Parent Penalty Total since 2000: $41,039,537,737
Number of Records: 2,091
Note: The totals here are derived only from entries matched to parent companies. They are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
UBS$31,069,299,125179
Novartis$2,449,415,33736
Transocean$1,659,498,85911
Glencore$1,223,027,44811
Holcim Group$1,094,803,406890
Sandoz Group$693,683,11812
Julius Baer Group$626,000,0002
ABB Ltd.$566,854,93853
Roche$432,796,10526
Zurich Insurance$385,111,584186

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgency sort iconPenalty Amount
American Guarantee and Liability Insurance Co.Zurich Insurancefinancial servicesinsurance violation2002FL-OFR$10,850
Security National Insurance Co.Zurich Insurancefinancial servicesinsurance violation2002FL-OFR$31,500
Ace American Insurance Co.Chubb Limitedfinancial servicesinsurance violation2003FL-OFR$6,000
Bristol West Insurance Co.Zurich Insurancefinancial servicesinsurance violation2004FL-OFR$26,500
Combined Insurance Company of AmericaChubb Limitedfinancial servicesinsurance violation2006FL-OFR$9,750
Ace American Insurance Co.Chubb Limitedfinancial servicesinsurance violation2007FL-OFR$56,000
Zurich American Insurance Co.Zurich Insurancefinancial servicesinsurance violation2008FL-OFR$8,000
LAFARGE GYPSUM MANUFACTURING FACILITYHolcim Groupbuilding materialsdrinking water violation2010FL-DEP$5,200
SGS North America IncSGS S.A.miscellaneous servicesenvironmental violation2021FL-DEP$19,500
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2019FINRA$6,500,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019FINRA$2,000,000
UBS Financial Services Inc. and UBS Securities LLCUBSfinancial servicesanti-money-laundering deficiencies2018FINRA$5,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesanti-money-laundering deficiencies2016FINRA$16,500,000
UBS Financial Services Incorporated of Puerto RicoUBSfinancial servicesinvestor protection violation2015FINRA$18,500,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2014FINRA$5,000,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2012FINRA$2,354,584
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011FINRA$1,750,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011FINRA$12,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011FINRA$4,500,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2011FINRA$10,750,000
UBS SecuritiesUBSfinancial servicesinvestor protection violation2009FINRA$268,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2009FINRA$275,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2009FINRA$100,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008FINRA$1,000,000
UBS Securities, LLCUBSfinancial servicesinvestor protection violation2008FINRA$200,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007FINRA$370,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2006FINRA$225,000
UBS International Inc.UBSfinancial servicesinvestor protection violation2005FINRA$10,000
Credit Suisse First Boston, L.L.C.UBSfinancial servicesinvestor protection violation2004FINRA$50,000
Schwab Capital Markets, L.P.UBSfinancial servicesinvestor protection violation2004FINRA$70,000
UBS Securities, L.L.C.UBSfinancial servicesinvestor protection violation2004FINRA$10,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004FINRA$200,666
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2004FINRA$770,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Schwab Capital MarketsUBSfinancial servicesinvestor protection violation2001FINRA$12,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2001FINRA$25,000
CS First Boston Corp.UBSfinancial servicesinvestor protection violation2000FINRA$1,240,000
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2022FINRA$9,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2022FINRA$2,500,000
UBS Financial Services Inc.UBSfinancial servicesanti-money-laundering deficiencies2018FINCEN$5,000,000
Credit SuisseUBSfinancial servicestoxic securities abuses2014FHFA$885,000,000
UBS Americas Inc.UBSfinancial servicestoxic securities abuses2013FHFA$885,000,000
Vitol Inc.Vitolfinancial servicesenergy market violation2019FERC$2,742,881
Vitol Inc.Vitolfinancial servicesenergy market violation2024FERC$2,225,000
UBS AGUBSfinancial servicesbanking violation2015FED$342,000,000
Credit Suisse AGUBSfinancial servicesbanking violation2014FED$100,000,000
UBS AGUBSfinancial serviceseconomic sanction violation2004FED$100,000,000
UBS Group AGUBSfinancial servicesbanking violation2023FED$268,500,000
Novartis Pharmaceuticals CorporationNovartispharmaceuticalsoff-label or unapproved promotion of medical products2010FDA$422,500,000
Novartis Vaccines & Diagnostics Inc. and Novartis Pharmaceuticals CorporationNovartispharmaceuticalsoff-label or unapproved promotion of medical products2010FDA$72,500,000
InterMune Inc.Rochepharmaceuticalsoff-label or unapproved promotion of medical products2006FDA$36,900,000
ABB Inc.ABB Ltd.utilities and power generationtelecommunications violation2020FCC$15,000
KUEHNE AND NAGEL INCKuehne & Nagelfreight and logisticsaviation safety violation2010FAA$15,000
TYCO ELECTRONICS LTDTE Connectivityelectrical and electronic equipmentaviation safety violation2011FAA$30,000
NESTLE PURINA PETCARENestlefood productsaviation safety violation2012FAA$80,000
KUEHNE AND NAGEL INC.Kuehne & Nagelfreight and logisticsaviation safety violation2017FAA$25,360
LAFARGE NORTH AMERICAHolcim Groupbuilding materialsaviation safety violation2014FAA$12,000
Kuehne & Nagel, Inc.Kuehne & Nagelfreight and logisticsaviation safety violation2014FAA$91,000
HolcimHolcim Groupbuilding materialsair pollution violation2013EPA$20,700,000
TransoceanTransoceanoilfield services and suppliesoil spill2013EPA$1,000,000,000
Lafarge North America Inc.Holcim Groupbuilding materialswater pollution violation2011EPA$8,740,000
Lafarge North America Inc.Holcim Groupbuilding materialsenvironmental violation2010EPA$175,000,000
Lafarge North America Inc.Holcim Groupbuilding materialsair pollution violation2013EPA$1,500,000
Transocean Deepwater Inc.Transoceanoilfield services and suppliesoil spill2013EPA$400,000,000
Russell Stover Candies, Inc.Lindt & Sprunglifood productswater pollution violation2012EPA$585,000
Holcim (US), Inc.Holcim Groupbuilding materialswater pollution violation2012EPA$36,500
BOSFuel Corp. and Swissport Fueling, Inc.Swissport Internationalbusiness servicesoil spill2012EPA$90,000
Lindt & SprungliLindt & Sprunglifood productsenvironmental violation2011EPA$19,300
Aggregate Industries-Northeast Region Inc.Holcim Groupbuilding materialswater pollution violation2009EPA$2,750,000
Chemoil CorporationGlencorefinancial servicesenvironmental violation2016EPA$27,000,000
GenentechRochepharmaceuticalshazardous waste violation2023EPA$158,208
Transocean Offshore Deepwater Drilling, IncTransoceanoilfield services and supplieswater pollution violation2023EPA$507,000
Systech Environmental CorporationHolcim Groupbuilding materialshazardous waste violation2024EPA$98,513
Tyco Electronics WaterburyTE Connectivityelectrical and electronic equipmentenvironmental violation2004EPA$5,000
Aggregate Industries IncHolcim Groupbuilding materialswater pollution violation2009EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,750,000
CLARIANT CORPORATIONClariantchemicalsenvironmental violation2007EPA$211,200
SWISSPORT/BOSFUELSwissport Internationalbusiness serviceswater pollution violation2012EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,000
LINDT CHOCOLATESLindt & Sprunglifood productsenvironmental violation2011EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $19,300
NBTY, INC.Nestlefood productswater pollution violation2000EPA$22,500
NBTY, INC. - BAYPORTNestlefood productswater pollution violation2000EPA$25,000
NBTY, IncNestlefood productsair pollution violation2002EPA$280,000
Givaudan Flavors CorporationGivaudanmiscellaneous manufacturinghazardous waste violation2003EPA$38,770
LAFARGE BLDG MATERIALS INC - RAVENA CEMENT PLANTHolcim Groupbuilding materialsair pollution violation2013EPA$260,231
Lonza, Inc.Lonzachemicalsenvironmental violation2004EPA$50,000
Lonza IncLonzachemicalsenvironmental violation2008EPA$575,000
Lafarge North America, Inc. (NC)(Lead)Holcim Groupbuilding materialswater pollution violation2012EPA$255,143
Thomas & Betts Caribe, Inc.ABB Ltd.utilities and power generationenvironmental violation2008EPA$17,710
Lonza Inc.Lonzachemicalsenvironmental violation2009EPA$552,000
Roche Molecular Systems, Inc.Rochepharmaceuticalshazardous waste violation2011EPA$90,000
Lafarge Building Materials, Inc.Holcim Groupbuilding materialswater pollution violation2012EPA$120,000
Lafarge Building Materials, Inc.Holcim Groupbuilding materialsenvironmental violation2012EPA$45,980
Givaudan Flavors CorporationGivaudanmiscellaneous manufacturingenvironmental violation2016EPA$94,500
Arxada LLCArxadachemicalsenvironmental violation2023EPA$28,788
LAFARGE NORTH AMERICA, INCHolcim Groupbuilding materialsair pollution violation2010EPA$315,481
NESTLE PURINA PETCARE COMPANYNestlefood productsenvironmental violation2005EPA$18,282
LONZA INCORPORATEDLonzachemicalsenvironmental violation2005EPA$80,000
HOLCIM (US), INC.Holcim Groupbuilding materialsair pollution violation2013EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $700,000
LAFARGE MID-ATLANTIC, LLCHolcim Groupbuilding materialswater pollution violation2012EPA$2,307,112
LAFARGE NORTH AMERICA, INCHolcim Groupbuilding materialsPCB violation2011EPA$8,260
ABB, INCABB Ltd.utilities and power generationenvironmental violation2011EPA$74,140
TE CONNECTIVITY, INCTE Connectivityelectrical and electronic equipmenthazardous waste violation2011EPA$65,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.