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Violation Tracker Current Parent Headquarters Summary Page

HQ Country: Switzerland
Current Parent Penalty Total since 2000: $41,038,911,396
Number of Records: 2,090
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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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
UBS Securities LLCUBSfinancial servicesinvestor protection violation2022FINRA$2,500,000
UBS Securities LLCUBSfinancial servicesprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
UBS Securities LLCUBSfinancial servicesconsumer protection violation2015private lawsuit-federal$78,333,333
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 Securities LLC and UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$125,000,000
UBS Securities LLC and UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2011NJ-AG$3,790,487
UBS Securities LLC and UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008MULTI-AG$11,150,000,000
UBS Securities, L.L.C.UBSfinancial servicesinvestor protection violation2004FINRA$10,000
UBS Securities, LLCUBSfinancial servicesinvestor protection violation2008FINRA$200,000
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
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2003SEC$80,000,000
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
UBS Willow Management LLC and UBS Fund Advisor LLCUBSfinancial servicesinvestor protection violation2015SEC$17,500,000
UBS, Inc.UBSfinancial serviceswage and hour violation2013WHD$90,902
Union Bancaire PriveeUnion Bancaire Priveefinancial servicestax violations2016DOJ_TAX$187,000,000
Union Bancaire Privee, UBP SAUnion Bancaire Priveefinancial servicestax violations2020DOJ_TAX$14,000,000
Universal Underwriter Insurance Co.Zurich Insurancefinancial servicesinsurance violation2004MN-FIN$200,000
Universal Underwriters Insurance Co.Zurich Insurancefinancial servicesinsurance violation2007MO-INS$6,530
Universal Underwriters Insurance CompanyZurich Insurancefinancial servicesinsurance violation2006IN-INS$948,240
Universal Underwriters Insurance CompanyZurich Insurancefinancial servicesinsurance violation2007NH-INS$28,125
Universal Underwriters Life Insurance Co.Zurich Insurancefinancial servicesconsumer protection violation2008TX-AG$2,400,000
Universal Underwriters Life Insurance CompanyZurich Insurancefinancial servicesinsurance violation2006VA-INS$24,000
Universal Underwriters Service Corp.Zurich Insurancefinancial servicesinsurance violation2008WI-INS$10,000
VitolVitolfinancial servicesenvironmental violation2007CA-ARB$150,000
VitolVitolfinancial servicesenvironmental violation2005CA-ARB$20,000
VitolVitolfinancial servicesenvironmental violation2017EPA$35,000
Vitol Inc.Vitolfinancial servicesenergy market violation2019FERC$2,742,881
Vitol Inc.Vitolfinancial servicesfraud2020CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000
Vitol Inc.Vitolfinancial servicesForeign Corrupt Practices Act2020DOJ_CRIMINAL$135,000,000
Vitol Inc.Vitolfinancial servicesenergy market violation2024FERC$2,225,000
Vitol Inc.Vitolfinancial servicesenvironmental violation2014EPA$30,394
Vitol Inc.Vitolfinancial servicesenvironmental violation2016EPA$9,814
Vitol Inc. and Vitol Capital Management Ltd.Vitolfinancial servicesinvestor protection violation2010CFTC$6,000,000
Vitol S.A.Vitolfinancial servicesenvironmental violation2002CA-ARB$25,000
Vitol S.A., Inc.Vitolfinancial servicesenvironmental violation2005EPA$41,600
VITOL SA, INCVitolfinancial servicesenvironmental violation2002EPA$95,000
Vitol, Inc.Vitolfinancial servicesemployment discrimination2012EEOC$62,500
Vitol, Inc.Vitolfinancial servicesenvironmental violation2014CA-ARB$70,000
Vitol, Inc.Vitolfinancial servicesenvironmental violation2015EPA$14,047
Vitol, Inc.Vitolfinancial servicesenvironmental violation2016EPA$17,934
VITOL, S.A.Vitolfinancial serviceskickbacks and bribery2007NY-MANDA$17,500,000
Warburg Dillon Read LLCUBSfinancial servicesinvestor protection violation2000SEC$6,680,000
Xstrata CopperGlencorefinancial servicesrailroad safety violation2011FRA$7,500
Xstrata CopperGlencorefinancial servicesrailroad safety violation2012FRA$12,000
ZURICH AMERICAN INS COZurich Insurancefinancial serviceswage and hour violation2018IL-DOL$13,865
Zurich American Insurance Co.Zurich Insurancefinancial servicesinsurance violation2006CA-INS$15,000
Zurich American Insurance Co.Zurich Insurancefinancial servicesinsurance violation2002FL-OFR$44,500
Zurich American Insurance Co.Zurich Insurancefinancial servicesinsurance violation2008FL-OFR$8,000
Zurich American Insurance Co.Zurich Insurancefinancial servicesinsurance violation2015ID-INS$5,000
Zurich American Insurance Co.Zurich Insurancefinancial servicesinsurance violation2011MD-INS$125,000
Zurich American Insurance Co. et al.Zurich Insurancefinancial servicesinsurance violation2011MD-INS$30,000
Zurich American Insurance Co. et al.Zurich Insurancefinancial servicesinsurance violation2013ME-INS$35,350
Zurich American Insurance Co. et al.Zurich Insurancefinancial servicesinsurance violation2016MO-INS$250,000
Zurich American Insurance Co. of IllinoisZurich Insurancefinancial servicesinsurance violation2020TX-INS$10,800
Zurich American Insurance CompanyZurich Insurancefinancial servicesprice-fixing or anti-competitive practices2006MULTI-AG$171,700,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesprice-fixing or anti-competitive practices2006OH-AG$7,000,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2013NY-DFS$4,560,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2015SD-INS$100,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2016SD-INS$15,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2009TX-INS$15,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2010TX-INS$45,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2011TX-INS$10,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2012TX-INS$35,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2014TX-INS$47,735
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2014TX-INS$5,500
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2015TX-INS$90,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2015TX-INS$15,200
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2016TX-INS$35,012
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2017TX-INS$8,500
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2017TX-INS$32,400
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2018TX-INS$42,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2019TX-INS$15,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2016WA-INS$20,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2021WA-INS$5,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2022NY-DFS$2,200,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2022TX-INS$7,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2022TX-INS$5,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2022TX-INS$12,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2022CT-INS$12,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2023TX-INS$12,500
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2023TX-INS$17,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2023TX-INS$18,000
Zurich American Insurance Company et al.Zurich Insurancefinancial servicesFalse Claims Act and related2010NY-AG$37,500,000
Zurich American Life Insurance Company of New YorkZurich Insurancefinancial servicesinsurance violation2020NY-DFS$25,000
Zurich Capital Markets Inc.Zurich Insurancefinancial servicesinvestor protection violation2007SEC$16,800,000
Zurich DirectZurich Insurancefinancial servicesinsurance violation2002MA-INS$6,000
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008SEC$25,000,000
Zurich Insurance GroupZurich Insurancefinancial servicesinsurance violation2010CT-INS$235,000
Zurich Life Insurance Company LtdZurich Insurancefinancial servicestax violations2019DOJ_TAX$5,115,000
Zurich Life Insurance Company of AmericaZurich Insurancefinancial servicesinsurance violation2002MA-INS$12,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.