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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
Lonza AGLonzachemicalsprice-fixing or anti-competitive practices2009MULTI-AG$2,275,454
NestleNestlefood productsconsumer protection violation2009MULTI-AG$325,000
Novartis Pharmaceuticals CorporationNovartispharmaceuticalskickbacks and bribery2015MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $83,129,754
Novartis Pharmaceuticals CorporationNovartispharmaceuticalsoff-label or unapproved promotion of medical products2010MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $88,258,694
Novartis Vaccines & Diagnostics Inc. and Novartis Pharmaceuticals CorporationNovartispharmaceuticalsoff-label or unapproved promotion of medical products2010MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $29,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2018MULTI-AG$68,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2011MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,800,000
UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2013MULTI-AG$4,580,000
UBS Securities LLC and UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008MULTI-AG$11,150,000,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesprice-fixing or anti-competitive practices2006MULTI-AG$171,700,000
Novartis Pharmaceuticals Corp.Novartispharmaceuticalskickbacks and bribery2020MULTI-AG$103,000,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2008MULTI-FIN$15,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2013MULTI-FIN$4,600,000
UBS Securities LLC and UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000
UBS Warburg and UBS PaineWebberUBSfinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
UBSUBSfinancial servicestoxic securities abuses2016NCUA$69,800,000
Credit SuisseUBSfinancial servicestoxic securities abuses2016NCUA$50,300,000
UBSUBSfinancial servicestoxic securities abuses2017NCUA$445,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2011NH-BSR$1,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2012NH-BSR$72,500
Universal Underwriters Insurance CompanyZurich Insurancefinancial servicesinsurance violation2007NH-INS$28,125
Accutest LaboratoriesSGS S.A.miscellaneous servicesAmericans with Disabilities Act2015NJ-AG$2,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011NJ-AG$1,057,996
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2006NJ-AG$24,750,000
UBS Securities LLC and UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2011NJ-AG$3,790,487
Credit Suisse Securities (USA) LLC et al.UBSfinancial servicesinvestor protection violation2022NJ-AG$495,000,000
21st Century National Insurance CompanyZurich Insurancefinancial servicesinsurance violation2010NJ-DBI$10,000
SIKA CORPSika AGchemicalswater pollution violation2019NJ-ENV$11,162
GIVAUDAN FLAVORS CORPGivaudanmiscellaneous manufacturingair pollution violation2019NJ-ENV$5,400
ARYZTAAryztafood productsair pollution violation2019NJ-ENV$7,680
GIVAUDAN FLAVORS CORPGivaudanmiscellaneous manufacturingair pollution violation2018NJ-ENV$15,000
ARYZTAAryztafood productswater pollution violation2018NJ-ENV$7,000
GIVAUDAN FLAVORS CORPGivaudanmiscellaneous manufacturingair pollution violation2018NJ-ENV$15,000
SIKA CORPSika AGchemicalswater pollution violation2018NJ-ENV$63,750
GIVAUDAN FLAVORS CORPGivaudanmiscellaneous manufacturingair pollution violation2017NJ-ENV$5,000
ARYZTAAryztafood productsair pollution violation2017NJ-ENV$21,000
GIVAUDAN FLAVORS CORPGivaudanmiscellaneous manufacturingwater pollution violation2015NJ-ENV$12,000
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2014NJ-ENV$14,450
SGS NORTH AMERICA INCSGS S.A.miscellaneous servicesair pollution violation2014NJ-ENV$72,500
SGS NORTH AMERICA INCSGS S.A.miscellaneous serviceshazardous waste violation2013NJ-ENV$15,300
SGS NORTH AMERICA INCSGS S.A.miscellaneous serviceshazardous waste violation2013NJ-ENV$6,175
CLARIANT CORP - FAIR LAWNClariantchemicalswater pollution violation2012NJ-ENV$9,000
GIVAUDAN FLAVORS CORPGivaudanmiscellaneous manufacturingair pollution violation2010NJ-ENV$18,000
SGS NORTH AMERICA INCSGS S.A.miscellaneous serviceshazardous waste violation2010NJ-ENV$30,000
LAFARGE NORTH AMERICA GYPSUM DIVHolcim Groupbuilding materialsair pollution violation2008NJ-ENV$16,200
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2008NJ-ENV$5,700
LAFARGE NORTH AMERICA GYPSUM DIVHolcim Groupbuilding materialsair pollution violation2007NJ-ENV$5,000
ARYZTAAryztafood productsair pollution violation2007NJ-ENV$20,900
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2006NJ-ENV$6,000
ARYZTAAryztafood productswater pollution violation2006NJ-ENV$27,000
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2006NJ-ENV$14,720
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2005NJ-ENV$16,960
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2005NJ-ENV$10,240
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2005NJ-ENV$12,800
ARYZTAAryztafood productswater pollution violation2004NJ-ENV$50,000
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2004NJ-ENV$56,080
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2004NJ-ENV$21,280
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2004NJ-ENV$16,480
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2004NJ-ENV$12,960
ARYZTAAryztafood productswater pollution violation2003NJ-ENV$11,000
SIKA CORPSika AGchemicalswater pollution violation2003NJ-ENV$10,545
NESTLE USA BEVERAGE DIVISIONNestlefood productsair pollution violation2003NJ-ENV$125,550
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2003NJ-ENV$47,840
HOFFMAN LAROCHE INCRochepharmaceuticalshazardous waste violation2002NJ-ENV$5,000
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2002NJ-ENV$5,600
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2002NJ-ENV$12,800
LAFARGE GYPSUM FACILITY - NEWARKHolcim Groupbuilding materialsair pollution violation2001NJ-ENV$12,000
LAFARGE GYPSUM FACILITY - NEWARKHolcim Groupbuilding materialsair pollution violation2001NJ-ENV$8,500
NESTLE USA BEVERAGE DIVISIONNestlefood productsair pollution violation2001NJ-ENV$45,000
NESTLE USA BEVERAGE DIVISIONNestlefood productsair pollution violation2000NJ-ENV$31,425
ARYZTAAryztafood productsenvironmental violation2021NJ-ENV$8,000
NESTLE USA INCNestlefood productsenvironmental violation2022NJ-ENV$12,150
BARRY CALLEBAUT USA INCBarry Callebautfood productsenvironmental violation2023NJ-ENV$27,040
SIKA CORPSika AGchemicalsenvironmental violation2023NJ-ENV$12,000
NESTLE USA BEVERAGE DIVISION INCNestlefood productsenvironmental violation2023NJ-ENV$5,600
Aggregate Industries USHolcim Groupbuilding materialslabor relations violation2017NLRB$17,214
UBS Inc.UBSfinancial serviceslabor relations violation2010NLRB$26,351
Givaudan Fragrances CorporationGivaudanmiscellaneous manufacturinglabor relations violation2009NLRB$5,457
Sika CorporationSika AGchemicalslabor relations violation2008NLRB$5,200
Givaudan Fragrances Corp.Givaudanmiscellaneous manufacturinglabor relations violation2008NLRB$14,365
Lattimore Materials Co.Holcim Groupbuilding materialslabor relations violation2007NLRB$342,916
Kuehne & NagelKuehne & Nagelfreight and logisticslabor relations violation2007NLRB$14,616
Nestle Purina PetCareNestlefood productslabor relations violation2006NLRB$43,519
ABB Inc.ABB Ltd.utilities and power generationlabor relations violation2006NLRB$20,000
Lafarge North America - Gypsum DivisionHolcim Groupbuilding materialslabor relations violation2005NLRB$6,034
Ghirardelli ChocolateLindt & Sprunglifood productslabor relations violation2004NLRB$12,998
ABB, Inc.ABB Ltd.utilities and power generationlabor relations violation2004NLRB$6,626
Aggregate Industries (Middlesex Materials NE)Holcim Groupbuilding materialslabor relations violation2004NLRB$223,976
TYCO Electronics Power SystemsTE Connectivityelectrical and electronic equipmentlabor relations violation2003NLRB$96,000
Thomas & Betts CorporationABB Ltd.utilities and power generationlabor relations violation2003NLRB$17,140
LaFarge GypsumHolcim Groupbuilding materialslabor relations violation2003NLRB$6,750
Barry Callebaut, Inc.Barry Callebautfood productslabor relations violation2003NLRB$37,757
Nestle USA IncNestlefood productslabor relations violation2003NLRB$9,800
Novartis NutritionNestlefood productslabor relations violation2002NLRB$70,569
Novartis NutritionNestlefood productslabor relations violation2002NLRB$66,839
Nestle Nutrition DivisionNestlefood productslabor relations violation2002NLRB$25,000
Barry Callebaut U.S.A., Inc.Barry Callebautfood productslabor relations violation2001NLRB$30,000
Lattimore Materials Co. L.P.Holcim Groupbuilding materialslabor relations violation2001NLRB$45,000
Lattimore Materials Company, L.P.Holcim Groupbuilding materialslabor relations violation2001NLRB$27,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.