Vitol S.A., Inc. | Vitol | financial services | air pollution violation | 2005 | EPA | $41,600 |
Vitol Inc. | Vitol | financial services | air pollution violation | 2014 | EPA | $30,394 |
Vitol, Inc. | Vitol | financial services | air pollution violation | 2015 | EPA | $14,047 |
Vitol, Inc. | Vitol | financial services | air pollution violation | 2016 | EPA | $17,934 |
Vitol Inc. | Vitol | financial services | air pollution violation | 2016 | EPA | $9,814 |
Vitol | Vitol | financial services | air pollution violation | 2017 | EPA | $35,000 |
VITOL SA, INC | Vitol | financial services | air pollution violation | 2002 | EPA | $95,000 |
Union Bancaire Privee | Union Bancaire Privee | financial services | tax violations | 2016 | DOJ_TAX | $187,000,000 |
Union Bancaire Privee, UBP SA | Union Bancaire Privee | financial services | tax violations | 2020 | DOJ_TAX | $14,000,000 |
UBS Securities Japan Co. Ltd. | UBS | financial services | price-fixing or anti-competitive practices | 2012 | DOJ_ANTITRUST | $500,000,000 |
UBS AG | UBS | financial services | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $160,000,000 |
UBS AG | UBS | financial services | banking violation | 2015 | FED | $342,000,000 |
Credit Suisse AG | UBS | financial services | banking violation | 2014 | FED | $100,000,000 |
UBS AG | UBS | financial services | price-fixing or anti-competitive practices | 2015 | DOJ_CRIMINAL | $203,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2016 | SEC | $54,300,000 |
UBS Willow Management LLC and UBS Fund Advisor LLC | UBS | financial services | investor protection violation | 2015 | SEC | $17,500,000 |
UBS AG | UBS | financial services | investor protection violation | 2015 | SEC | $19,500,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | financial services | investor protection violation | 2015 | SEC | $15,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | data submission deficiencies | 2015 | SEC | $4,250,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2015 | SEC | $14,400,000 |
Credit Suisse Group AG | UBS | financial services | investor protection violation | 2014 | SEC | $196,000,000 |
UBS Securities | UBS | financial services | toxic securities abuses | 2013 | SEC | $50,000,000 |
Credit Suisse Securities (USA) | UBS | financial services | toxic securities abuses | 2012 | SEC | $120,000,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | financial services | investor protection violation | 2012 | SEC | $26,600,000 |
UBS Global Asset Management | UBS | financial services | investor protection violation | 2012 | SEC | $300,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2011 | SEC | $8,000,000 |
Credit Suisse | UBS | financial services | toxic securities abuses | 2014 | FHFA | $885,000,000 |
UBS Americas Inc. | UBS | financial services | toxic securities abuses | 2013 | FHFA | $885,000,000 |
UBS | UBS | financial services | toxic securities abuses | 2016 | NCUA | $69,800,000 |
Credit Suisse | UBS | financial services | toxic securities abuses | 2016 | NCUA | $50,300,000 |
Credit Suisse | UBS | financial services | investor protection violation | 2016 | CFTC | $665,000 |
UBS AG | UBS | financial services | price-fixing or anti-competitive practices | 2014 | CFTC | $290,000,000 |
UBS AG | UBS | financial services | price-fixing or anti-competitive practices | 2012 | CFTC | $700,000,000 |
UBS Securities | UBS | financial services | data submission deficiencies | 2010 | CFTC | $200,000 |
Credit Suisse AG | UBS | financial services | tax violations | 2014 | DOJ_TAX | $1,800,000,000 |
UBS AG | UBS | financial services | economic sanction violation | 2015 | OFAC | $1,700,100 |
UBS Financial Services | UBS | financial services | investor protection violation | 2014 | SEC | $56,400 |
UBS AG | UBS | financial services | investor protection violation | 2010 | CFTC | $130,000 |
UBS Fund Advisor, LLC | UBS | financial services | data submission deficiencies | 2009 | CFTC | $50,000 |
UBS AG | UBS | financial services | economic sanction violation | 2004 | FED | $100,000,000 |
Credit Suisse AG | UBS | financial services | economic sanction violation | 2009 | DOJ_CRIMINAL | $268,000,000 |
UBS AG | UBS | financial services | tax violations | 2009 | DOJ_TAX | $780,000,000 |
UBS (USA) Inc | UBS | financial services | economic sanction violation | 2003 | OFAC | $14,750 |
UBS (USA) Inc | UBS | financial services | economic sanction violation | 2003 | OFAC | $5,000 |
UBS AG | UBS | financial services | tax violations | 2009 | SEC | $200,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2004 | SEC | $4,621,768 |
UBS PaineWebber, Inc. | UBS | financial services | investor protection violation | 2003 | SEC | $500,000 |
Credit Suisse First Boston LLC | UBS | financial services | investor protection violation | 2003 | SEC | $200,000,000 |
UBS Warburg LLC | UBS | financial services | investor protection violation | 2003 | SEC | $80,000,000 |
Credit Suisse First Boston Corporation | UBS | financial services | investor protection violation | 2002 | SEC | $100,000,000 |
PaineWebber Incorporated | UBS | financial services | investor protection violation | 2000 | SEC | $26,200,000 |
Warburg Dillon Read LLC | UBS | financial services | investor protection violation | 2000 | SEC | $6,680,000 |
UBS Financial Services | UBS | financial services | investor protection violation | 2016 | SEC | $15,025,882 |
Credit Suisse AG | UBS | financial services | accounting fraud or deficiencies | 2016 | SEC | $90,000,000 |
Credit Suisse | UBS | financial services | toxic securities abuses | 2017 | DOJ_CIVIL | $5,280,000,000 |
UBS, Inc. | UBS | financial services | wage and hour violation | 2013 | WHD | $90,902 |
UBS Financial Services, Inc. | UBS | financial services | wage and hour violation | 2007 | WHD | $27,152 |
UBS Inc. | UBS | financial services | labor relations violation | 2010 | NLRB | $26,351 |
UBS | UBS | financial services | toxic securities abuses | 2017 | NCUA | $445,000,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2017 | SEC | $3,500,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2017 | SEC | $5,754,714 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2015 | SEC | $480,000 |
UBS AG | UBS | financial services | investor protection violation | 2018 | CFTC | $15,000,000 |
UBS | UBS | financial services | wage and hour violation | 2015 | private lawsuit-federal | $1,312,500 |
UBS | UBS | financial services | wage and hour violation | 2012 | private lawsuit-federal | $1,400,000 |
UBS as successor to Piper Jaffray | UBS | financial services | wage and hour violation | 2008 | private lawsuit-federal | $5,500,000 |
UBS | UBS | financial services | wage and hour violation | 2007 | private lawsuit-federal | $44,000,000 |
UBS | UBS | financial services | wage and hour violation | 2007 | private lawsuit-federal | $45,000,000 |
UBS O'Connor, LLC | UBS | financial services | investor protection violation | 2013 | SEC | $5,297,716 |
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC | UBS | financial services | investor protection violation | 2011 | SEC | $2,500,000 |
Credit Suisse (Hong Kong) Limited | UBS | financial services | Foreign Corrupt Practices Act | 2018 | DOJ_CRIMINAL | $47,029,916 |
UBS Financial Services Inc. | UBS | financial services | wage and hour violation | 2018 | WHD | $6,246 |
Credit Suisse Group AG | UBS | financial services | Foreign Corrupt Practices Act | 2018 | SEC | $29,700,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2018 | SEC | $5,000,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2005 | SEC | $700,000 |
Credit Suisse First Boston, LLC | UBS | financial services | investor protection violation | 2005 | SEC | $200,000 |
Donaldson, Lufkin & Jenrette Securities Corp. | UBS | financial services | investor protection violation | 2004 | SEC | $1,000,000 |
UBS Global Asset Management | UBS | financial services | benefit plan administrator violation | 2006 | private lawsuit-federal | $5,493,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2018 | SEC | $5,000,000 |
UBS Financial Services Inc. | UBS | financial services | anti-money-laundering deficiencies | 2018 | FINCEN | $5,000,000 |
Credit Suisse First Boston Corp. | 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. $200,000,000 |
Credit Suisse Securities | UBS | financial services | investor protection violation | 2016 | NY-AG | $30,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2011 | NJ-AG | $1,057,996 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2018 | NY-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) LLC | UBS | financial services | toxic securities abuses | 2016 | VA-AG | $1,200,000 |
UBS | UBS | financial services | investor protection violation | 2010 | MI-AG | $117,000,000 |
UBS AG | UBS | financial services | price-fixing or anti-competitive practices | 2018 | MULTI-AG | $68,000,000 |
UBS AG | UBS | financial services | price-fixing or anti-competitive practices | 2011 | 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. $90,800,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2006 | NJ-AG | $24,750,000 |
UBS Financial Services, Inc | UBS | financial services | investor protection violation | 2013 | MULTI-AG | $4,580,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2013 | DE-AG | $70,077 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2007 | NY-AG | $23,300,000 |
UBS Financial Services, Inc. and UBS Securities LLC | UBS | financial services | toxic securities abuses | 2008 | MA-AG | $35,000,000 |
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 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-AG | $11,150,000,000 |
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 AG | UBS | financial services | price-fixing or anti-competitive practices | 2016 | WV-AG | $325,000 |
Credit Suisse AG | UBS | financial services | economic sanction violation | 2009 | NY-MANDA | $268,000,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2010 | AK-DBS | $733,465 |