Zurich Life Insurance Company of America | Zurich Insurance | financial services | insurance violation | 2002 | MA-INS | $12,000 |
Zurich Life Insurance Company Ltd | Zurich Insurance | financial services | tax violations | 2019 | DOJ_TAX | $5,115,000 |
Zurich Insurance Group | Zurich Insurance | financial services | insurance violation | 2010 | CT-INS | $235,000 |
Zurich Financial Services | Zurich Insurance | financial services | accounting fraud or deficiencies | 2008 | SEC | $25,000,000 |
Zurich Direct | Zurich Insurance | financial services | insurance violation | 2002 | MA-INS | $6,000 |
Zurich Capital Markets Inc. | Zurich Insurance | financial services | investor protection violation | 2007 | SEC | $16,800,000 |
Zurich American Life Insurance Company of New York | Zurich Insurance | financial services | insurance violation | 2020 | NY-DFS | $25,000 |
Zurich American Insurance Company et al. | Zurich Insurance | financial services | False Claims Act and related | 2010 | NY-AG | $37,500,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | price-fixing or anti-competitive practices | 2006 | MULTI-AG | $171,700,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | price-fixing or anti-competitive practices | 2006 | OH-AG | $7,000,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2013 | NY-DFS | $4,560,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2015 | SD-INS | $100,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2016 | SD-INS | $15,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2009 | TX-INS | $15,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2010 | TX-INS | $45,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2011 | TX-INS | $10,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2012 | TX-INS | $35,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2014 | TX-INS | $47,735 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2014 | TX-INS | $5,500 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2015 | TX-INS | $90,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2015 | TX-INS | $15,200 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2016 | TX-INS | $35,012 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2017 | TX-INS | $8,500 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2017 | TX-INS | $32,400 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2018 | TX-INS | $42,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2019 | TX-INS | $15,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2016 | WA-INS | $20,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2021 | WA-INS | $5,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2022 | NY-DFS | $2,200,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2022 | TX-INS | $7,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2022 | TX-INS | $5,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2022 | TX-INS | $12,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2022 | CT-INS | $12,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2023 | TX-INS | $12,500 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2023 | TX-INS | $17,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2023 | TX-INS | $18,000 |
Zurich American Insurance Co. of Illinois | Zurich Insurance | financial services | insurance violation | 2020 | TX-INS | $10,800 |
Zurich American Insurance Co. et al. | Zurich Insurance | financial services | insurance violation | 2011 | MD-INS | $30,000 |
Zurich American Insurance Co. et al. | Zurich Insurance | financial services | insurance violation | 2013 | ME-INS | $35,350 |
Zurich American Insurance Co. et al. | Zurich Insurance | financial services | insurance violation | 2016 | MO-INS | $250,000 |
Zurich American Insurance Co. | Zurich Insurance | financial services | insurance violation | 2006 | CA-INS | $15,000 |
Zurich American Insurance Co. | Zurich Insurance | financial services | insurance violation | 2002 | FL-OFR | $44,500 |
Zurich American Insurance Co. | Zurich Insurance | financial services | insurance violation | 2008 | FL-OFR | $8,000 |
Zurich American Insurance Co. | Zurich Insurance | financial services | insurance violation | 2015 | ID-INS | $5,000 |
Zurich American Insurance Co. | Zurich Insurance | financial services | insurance violation | 2011 | MD-INS | $125,000 |
ZURICH AMERICAN INS CO | Zurich Insurance | financial services | wage and hour violation | 2018 | IL-DOL | $13,865 |
Xstrata Copper | Glencore | financial services | railroad safety violation | 2011 | FRA | $7,500 |
Xstrata Copper | Glencore | financial services | railroad safety violation | 2012 | FRA | $12,000 |
Warburg Dillon Read LLC | UBS | financial services | investor protection violation | 2000 | SEC | $6,680,000 |
VITOL, S.A. | Vitol | financial services | kickbacks and bribery | 2007 | NY-MANDA | $17,500,000 |
Vitol, Inc. | Vitol | financial services | employment discrimination | 2012 | EEOC | $62,500 |
Vitol, Inc. | Vitol | financial services | environmental violation | 2014 | CA-ARB | $70,000 |
Vitol, Inc. | Vitol | financial services | environmental violation | 2015 | EPA | $14,047 |
Vitol, Inc. | Vitol | financial services | environmental violation | 2016 | EPA | $17,934 |
VITOL SA, INC | Vitol | financial services | environmental violation | 2002 | EPA | $95,000 |
Vitol S.A., Inc. | Vitol | financial services | environmental violation | 2005 | EPA | $41,600 |
Vitol S.A. | Vitol | financial services | environmental violation | 2002 | CA-ARB | $25,000 |
Vitol Inc. and Vitol Capital Management Ltd. | Vitol | financial services | investor protection violation | 2010 | CFTC | $6,000,000 |
Vitol Inc. | Vitol | financial services | energy market violation | 2019 | FERC | $2,742,881 |
Vitol Inc. | Vitol | financial services | fraud | 2020 | CFTC | (*)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. | Vitol | financial services | Foreign Corrupt Practices Act | 2020 | DOJ_CRIMINAL | $135,000,000 |
Vitol Inc. | Vitol | financial services | energy market violation | 2024 | FERC | $2,225,000 |
Vitol Inc. | Vitol | financial services | environmental violation | 2014 | EPA | $30,394 |
Vitol Inc. | Vitol | financial services | environmental violation | 2016 | EPA | $9,814 |
Vitol | Vitol | financial services | environmental violation | 2007 | CA-ARB | $150,000 |
Vitol | Vitol | financial services | environmental violation | 2005 | CA-ARB | $20,000 |
Vitol | Vitol | financial services | environmental violation | 2017 | EPA | $35,000 |
Universal Underwriters Service Corp. | Zurich Insurance | financial services | insurance violation | 2008 | WI-INS | $10,000 |
Universal Underwriters Life Insurance Company | Zurich Insurance | financial services | insurance violation | 2006 | VA-INS | $24,000 |
Universal Underwriters Life Insurance Co. | Zurich Insurance | financial services | consumer protection violation | 2008 | TX-AG | $2,400,000 |
Universal Underwriters Insurance Company | Zurich Insurance | financial services | insurance violation | 2006 | IN-INS | $948,240 |
Universal Underwriters Insurance Company | Zurich Insurance | financial services | insurance violation | 2007 | NH-INS | $28,125 |
Universal Underwriters Insurance Co. | Zurich Insurance | financial services | insurance violation | 2007 | MO-INS | $6,530 |
Universal Underwriter Insurance Co. | Zurich Insurance | financial services | insurance violation | 2004 | MN-FIN | $200,000 |
Union Bancaire Privee, UBP SA | Union Bancaire Privee | financial services | tax violations | 2020 | DOJ_TAX | $14,000,000 |
Union Bancaire Privee | Union Bancaire Privee | financial services | tax violations | 2016 | DOJ_TAX | $187,000,000 |
UBS, Inc. | UBS | financial services | wage and hour violation | 2013 | WHD | $90,902 |
UBS Willow Management LLC and UBS Fund Advisor LLC | UBS | financial services | investor protection violation | 2015 | SEC | $17,500,000 |
UBS Warburg LLC | UBS | financial services | investor protection violation | 2003 | SEC | $80,000,000 |
UBS Warburg LLC | UBS | financial services | investor protection violation | 2002 | MULTI-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 Warburg and UBS PaineWebber | UBS | financial services | investor protection violation | 2003 | MULTI-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 Securities, LLC | UBS | financial services | investor protection violation | 2008 | FINRA | $200,000 |
UBS Securities, L.L.C. | UBS | financial services | investor protection violation | 2004 | FINRA | $10,000 |
UBS Securities LLC and UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2008 | MULTI-AG | $11,150,000,000 |
UBS Securities LLC and UBS Financial Services, Inc | UBS | financial services | investor protection violation | 2011 | NJ-AG | $3,790,487 |
UBS Securities LLC and UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2008 | MULTI-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. | UBS | financial services | investor protection violation | 2022 | SEC | $125,000,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2015 | SEC | $14,400,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2011 | SEC | $8,000,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2005 | SEC | $700,000 |
UBS Securities LLC | UBS | financial services | toxic securities abuses | 2018 | NY-AG | $230,000,000 |
UBS Securities LLC | UBS | financial services | toxic securities abuses | 2016 | VA-AG | $850,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2010 | AK-DBS | $733,465 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2010 | TX-SEC | $6,640,432 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2011 | FINRA | $12,000,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2022 | FINRA | $2,500,000 |
UBS Securities LLC | UBS | financial services | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
UBS Securities LLC | UBS | financial services | consumer protection violation | 2015 | private lawsuit-federal | $78,333,333 |
UBS Securities Japan Co. Ltd. | UBS | financial services | price-fixing or anti-competitive practices | 2012 | DOJ_ANTITRUST | $500,000,000 |
UBS Securities | UBS | financial services | toxic securities abuses | 2013 | SEC | $50,000,000 |
UBS Securities | UBS | financial services | data submission deficiencies | 2010 | CFTC | $200,000 |