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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
Credit Suisse AGUBSfinancial servicesprice-fixing or anti-competitive practices2022private lawsuit-federal$10,989,000
Credit Suisse AGUBSfinancial servicesprice-fixing or anti-competitive practices2022private lawsuit-federal$8,875,000
Credit Suisse AGUBSfinancial servicesprice-fixing or anti-competitive practices2023private lawsuit-federal$13,750,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSfinancial servicesinvestor protection violation2011SEC$2,500,000
Credit Suisse Energy LLCUBSfinancial servicesutility service violation2017TX-PUC$7,500
Credit Suisse First Boston Corp.UBSfinancial 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. $200,000,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2002SEC$100,000,000
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
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2001FINRA$25,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003SEC$200,000,000
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 First Boston LLCUBSfinancial servicesinvestor protection violation2004FINRA$770,000
Credit Suisse First Boston, L.L.C.UBSfinancial servicesinvestor protection violation2004FINRA$50,000
Credit Suisse First Boston, LLCUBSfinancial servicesinvestor protection violation2005SEC$200,000
Credit Suisse Group AGUBSfinancial servicesinvestor protection violation2014SEC$196,000,000
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2018SEC$29,700,000
Credit Suisse Group AGUBSfinancial servicesfraud2021DOJ_CRIMINAL$175,500,000
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2021SEC$99,000,000
Credit Suisse Group AGUBSfinancial servicesprice-fixing or anti-competitive practices2023private lawsuit-federal$550,000
Credit Suisse GroupAGUBSfinancial servicesprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2016NY-AG$30,000,000
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2022FINRA$9,000,000
Credit Suisse Securities (USA)UBSfinancial servicestoxic securities abuses2012SEC$120,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2016SEC$54,300,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesdata submission deficiencies2015SEC$4,250,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2017SEC$5,754,714
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2018SEC$5,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011NJ-AG$1,057,996
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2018NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $10,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicestoxic securities abuses2016VA-AG$1,200,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2008MULTI-FIN$15,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2020SEC$600,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2019FINRA$6,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesanti-money-laundering deficiencies2016FINRA$16,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011FINRA$1,750,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011FINRA$4,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2022SEC$125,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2023SEC$10,000,000
Credit Suisse Securities (USA) LLC et al.UBSfinancial servicesinvestor protection violation2022NJ-AG$495,000,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2014FINRA$5,000,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2009FINRA$275,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2006FINRA$225,000
CS First Boston Corp.UBSfinancial servicesinvestor protection violation2000FINRA$1,240,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSfinancial servicesinvestor protection violation2004SEC$1,000,000
EMPIRE FIRE & MARINE INSURANCE COZurich Insurancefinancial servicesinsurance violation2011VA-INS$25,000
Empire Fire & Marine Insurance CompanyZurich Insurancefinancial servicesinsurance violation2006PA-INS$20,000
Empire Fire and Marine Insurance Co. et al.Zurich Insurancefinancial servicesinsurance violation2015MD-INS$8,000
Eon Labs Inc.NovartispharmaceuticalsFalse Claims Act and related2010DOJ_CIVIL$3,500,000
Farmer's Group, Inc.Zurich Insurancefinancial serviceswage and hour violation2010WHD$565,065
Farmer's Group, Inc.Zurich Insurancefinancial serviceswage and hour violation2010WHD$754,148
Farmer's Group, Inc.Zurich Insurancefinancial serviceswage and hour violation2010WHD$20,122
Farmer's Group, Inc.Zurich Insurancefinancial serviceswage and hour violation2010WHD$209,170
Farmer's InsuranceZurich Insurancefinancial serviceswage and hour violation2011WHD$1,520,705
Farmers Group, Inc.Zurich Insurancefinancial servicesbenefit plan administrator violation2012private lawsuit-federal$6,850,000
Farmers InsuranceZurich Insurancefinancial servicesinsurance violation2021OK-AG$25,000,000
Farmers Insurance CompanyZurich Insurancefinancial servicesconsumer protection violation2011private lawsuit-federal$10,975,000
Farmers Insurance Company of OregonZurich Insurancefinancial servicesinsurance violation2005OR-FIN$11,000
Farmers Insurance Company of OregonZurich Insurancefinancial servicesinsurance violation2007OR-FIN$20,000
Farmers Insurance Company of OregonZurich Insurancefinancial servicesinsurance violation2007OR-FIN$10,000
Farmers Insurance Company of OregonZurich Insurancefinancial servicesinsurance violation2009OR-FIN$10,000
Farmers Insurance Company Of WashingtonZurich Insurancefinancial servicesinsurance violation2015WA-INS$100,000
Farmers Insurance Company Of WashingtonZurich Insurancefinancial servicesinsurance violation2015WA-INS$300,000
Farmers Insurance Company Of WashingtonZurich Insurancefinancial servicesinsurance violation2017WA-INS$10,000
Farmers Insurance Company Of Washington And Farmers Insurance ExchangeZurich Insurancefinancial servicesinsurance violation2012WA-INS$10,000
Farmers Insurance Company Of Washington And Farmers Insurance ExchangeZurich Insurancefinancial servicesinsurance violation2020WA-INS$50,000
Farmers Insurance Company of Washington et al.Zurich Insurancefinancial servicesinsurance violation2021WA-INS$20,000
Farmers Insurance Company, Inc.Zurich Insurancefinancial servicesinsurance violation2013KS-INS$50,000
Farmers Insurance Company, Inc.Zurich Insurancefinancial servicesinsurance violation2016KS-INS$20,000
Farmers Insurance GroupZurich Insurancefinancial servicesdiscriminatory practices (non-employment)2001OH-AG$4,300,000
Farmers Insurance GroupZurich Insurancefinancial servicesconsumer protection violation2003TX-AG$2,400,000
Farmers Insurance GroupZurich Insurancefinancial servicesinsurance violation2002TX-INS$15,000,000
Federal Insurance Co.Chubb Limitedfinancial servicesinsurance violation2005CO-INS$16,000
Federal Insurance Co.Chubb Limitedfinancial servicesinsurance violation2008MO-INS$5,900
Federal Insurance Co.Chubb Limitedfinancial servicesinsurance violation2016MO-INS$84,500
Federal Insurance Co.Chubb Limitedfinancial servicesinsurance violation2018MT-FIN$20,000
Federal Insurance Co.Chubb Limitedfinancial servicesinsurance violation2011TX-INS$17,500
Federal Insurance Co.Chubb Limitedfinancial servicesinsurance violation2020SD-INS$25,000
Federal Insurance Co.Chubb Limitedfinancial servicesinsurance violation2021TX-INS$19,000
Federal Insurance Co. et al.Chubb Limitedfinancial servicesinsurance violation2003CA-INS$403,652
Federal Insurance Co. et al.Chubb Limitedfinancial servicesinsurance violation2011MD-INS$25,000
Federal Insurance Co. et al.Chubb Limitedfinancial servicesinsurance violation2011MD-INS$15,000
Federal Insurance Co. et al.Chubb Limitedfinancial servicesinsurance violation2015MD-INS$25,000
Federal Insurance Co. et al.Chubb Limitedfinancial servicesinsurance violation2016MD-INS$12,000
FEDERAL INSURANCE CO.,Chubb Limitedfinancial servicesinsurance violation2015VA-INS$132,761
FEDERAL INSURANCE CO., ET AL.Chubb Limitedfinancial servicesinsurance violation2004VA-INS$65,000
Federal Insurance CompanyChubb Limitedfinancial servicesinsurance violation2013TX-INS$36,000
Federal Insurance CompanyChubb Limitedfinancial servicesinsurance violation2013TX-INS$6,000
Federal Insurance CompanyChubb Limitedfinancial servicesinsurance violation2014TX-INS$37,597
Federal Insurance CompanyChubb Limitedfinancial servicesinsurance violation2016TX-INS$16,000
Federal Insurance CompanyChubb Limitedfinancial servicesinsurance violation2017TX-INS$22,500
Federal Insurance CompanyChubb Limitedfinancial servicesinsurance violation2018TX-INS$7,000
FEDERAL INSURANCE COMPANYChubb Limitedfinancial servicesinsurance violation2017VA-INS$6,261
Federal Insurance CompanyChubb Limitedfinancial servicesinsurance violation2017WA-INS$30,000
Firestone Building ProductsHolcim Groupbuilding materialsenvironmental violation2016CA-SCAQMD$21,825
Firestone Building ProductsHolcim Groupbuilding materialsenvironmental violation2012CA-SCAQMD$400,000
FIRESTONE BUILDING PRODUCTSHolcim Groupbuilding materialsworkplace safety or health violation2019OSHA$6,073
FIRESTONE BUILDING PRODUCTSHolcim Groupbuilding materialsenvironmental violation2013EPA$14,820
FIRESTONE BUILDING PRODUCTS, LLC.Holcim Groupbuilding materialsworkplace safety or health violation2018OSHA$12,000
Foremost Insurance Co.Zurich Insurancefinancial servicesinsurance violation2003MN-FIN$5,000
FOREMOST INSURANCE CO.Zurich Insurancefinancial servicesinsurance violation2010VA-INS$6,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.