Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgency sort iconPenalty Amount
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2018SEC$29,700,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2018SEC$5,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2005SEC$700,000
Credit Suisse First Boston, LLCUBSfinancial servicesinvestor protection violation2005SEC$200,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSfinancial servicesinvestor protection violation2004SEC$1,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2018SEC$5,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2020SEC$10,000,000
Novartis AGNovartispharmaceuticalsForeign Corrupt Practices Act2020SEC$112,800,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2020SEC$600,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2021SEC$8,112,174
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2021SEC$99,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$25,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$925,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2022SEC$125,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$125,000,000
ABB LtdABB Ltd.utilities and power generationForeign Corrupt Practices Act2022SEC$75,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2023SEC$10,000,000
Farmers Insurance GroupZurich Insurancefinancial servicesconsumer protection violation2003TX-AG$2,400,000
Novartis PharmaceuticalsNovartispharmaceuticalsoff-label or unapproved promotion of medical products2012TX-AG$6,638,250
Universal Underwriters Life Insurance Co.Zurich Insurancefinancial servicesconsumer protection violation2008TX-AG$2,400,000
UBSUBSfinancial servicesbanking violation2023TX-AG$850,000
Holcim (Texas) Limited PartnershipHolcim Groupbuilding materialsenvironmental violation2019TX-ENV$5,871
HOLCIM TEXAS LIMITED PARTNERSHIPHolcim Groupbuilding materialsenvironmental violation2002TX-ENV$223,125
ARCH CHEMICALS INCArxadachemicalsenvironmental violation2001TX-ENV$66,600
LONZA INCLonzachemicalsenvironmental violation2000TX-ENV$12,500
Corpus Christi Alumina LLCGlencorefinancial servicesenvironmental violation2021TX-ENV$32,400
Holcim (Us) Inc.Holcim Groupbuilding materialsenvironmental violation2020TX-ENV$5,941
HOLCIM (US) INC.Holcim Groupbuilding materialsenvironmental violation2022TX-ENV$14,400
Holcim (Us) Inc.Holcim Groupbuilding materialsair pollution violation2023TX-ENV$74,614
Mid-Century Insurance Co. of TexasZurich Insurancefinancial servicesinsurance violation2000TX-INS$11,000,000
Farmers Insurance GroupZurich Insurancefinancial servicesinsurance violation2002TX-INS$15,000,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2008TX-INS$17,500
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2008TX-INS$14,875
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2008TX-INS$18,000
Ace American Insurance Company et al.Chubb Limitedfinancial servicesinsurance violation2008TX-INS$50,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2008TX-INS$37,500
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2008TX-INS$7,500
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2009TX-INS$15,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2010TX-INS$74,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2010TX-INS$147,000
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2010TX-INS$32,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2010TX-INS$45,000
American Guarantee & Liability Insurance CompanyZurich Insurancefinancial servicesinsurance violation2010TX-INS$30,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2011TX-INS$48,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2011TX-INS$68,000
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2011TX-INS$9,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2011TX-INS$15,500
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2011TX-INS$10,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2011TX-INS$40,000
Chubb Indemnity Insurance Co.Chubb Limitedfinancial servicesinsurance violation2011TX-INS$24,000
Federal Insurance Co.Chubb Limitedfinancial servicesinsurance violation2011TX-INS$17,500
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2012TX-INS$8,500
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2012TX-INS$27,500
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2012TX-INS$35,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2012TX-INS$6,960
Federal Insurance CompanyChubb Limitedfinancial servicesinsurance violation2013TX-INS$36,000
Mid-Century Insurance CompanyZurich Insurancefinancial servicesinsurance violation2013TX-INS$14,360
Federal Insurance CompanyChubb Limitedfinancial servicesinsurance violation2013TX-INS$6,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2013TX-INS$15,000
Chubb Indemnity Insurance CompanyChubb Limitedfinancial servicesinsurance violation2013TX-INS$7,000
Pacific Indemnity CompanyChubb Limitedfinancial servicesinsurance violation2013TX-INS$17,500
Chubb Indemnity CompanyChubb Limitedfinancial servicesinsurance violation2014TX-INS$5,725
Federal Insurance CompanyChubb Limitedfinancial servicesinsurance violation2014TX-INS$37,597
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2014TX-INS$16,514
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2014TX-INS$47,735
Ace Fire Underwriters Insurance CompanyChubb Limitedfinancial servicesinsurance violation2014TX-INS$14,615
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2014TX-INS$30,599
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2014TX-INS$44,079
American Guarantee and Liability Insurance CompanyZurich Insurancefinancial servicesinsurance violation2014TX-INS$11,000
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2014TX-INS$15,500
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2014TX-INS$5,500
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2014TX-INS$45,000
Chubb Indemnity Insurance CompanyChubb Limitedfinancial servicesinsurance violation2014TX-INS$9,000
ACE American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2015TX-INS$250,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2015TX-INS$9,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2015TX-INS$6,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2015TX-INS$16,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2015TX-INS$49,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2015TX-INS$6,000
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2015TX-INS$9,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2015TX-INS$90,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2015TX-INS$9,900
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2015TX-INS$15,200
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2015TX-INS$7,000
American Guarantee and Liability Insurance CompanyZurich Insurancefinancial servicesinsurance violation2015TX-INS$6,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2015TX-INS$15,000
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2016TX-INS$5,000
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2016TX-INS$13,571
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2016TX-INS$35,012
Federal Insurance CompanyChubb Limitedfinancial servicesinsurance violation2016TX-INS$16,000
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2017TX-INS$6,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2017TX-INS$8,500
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2017TX-INS$9,500
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2017TX-INS$8,750
Federal Insurance CompanyChubb Limitedfinancial servicesinsurance violation2017TX-INS$22,500
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2017TX-INS$32,400
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2017TX-INS$5,255
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2018TX-INS$53,750
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2018TX-INS$42,000
Security National Insurance CompanyZurich Insurancefinancial servicesinsurance violation2018TX-INS$40,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2018TX-INS$22,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.