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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.

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CompanyCurrent Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
UBS Securities LLCUBSfinancial servicesinvestor protection violation2010AK-DBS$733,465
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2013AK-DBS$64,661
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2007CT-SEC$5,500,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2011IN-SEC$677,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007MO-SEC$697,210
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2009MO-SEC$170,175
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2006MT-FIN$4,503,166
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2011NH-BSR$1,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2012NH-BSR$72,500
Credit Suisse AGUBSfinancial servicestax violations2014NY-DFS$715,000,000
Credit Suisse AGUBSfinancial servicesprice-fixing or anti-competitive practices2017NY-DFS$135,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2010TX-SEC$6,640,432
UBS FINANCIAL SERVICES, INC.UBSfinancial servicesinvestor protection violation2007VA-SEC$100,000
UBS FINANCIAL SERVICES, INC.UBSfinancial servicesinvestor protection violation2010VA-SEC$625,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019VA-SEC$288,970
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2014VT-FIN$325,000
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 Securities (USA) LLCUBSfinancial servicesinvestor protection violation2008MULTI-FIN$15,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2013MULTI-FIN$4,600,000
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 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 Financial Services Inc.UBSfinancial servicesinvestor protection violation2020SEC$10,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2020SEC$600,000
UBS AGUBSfinancial servicesenvironmental violation2011CT-ENV$80,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2019FINRA$6,500,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019FINRA$2,000,000
UBS Financial Services Inc. and UBS Securities LLCUBSfinancial servicesanti-money-laundering deficiencies2018FINRA$5,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesanti-money-laundering deficiencies2016FINRA$16,500,000
UBS Financial Services Incorporated of Puerto RicoUBSfinancial servicesinvestor protection violation2015FINRA$18,500,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2014FINRA$5,000,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2012FINRA$2,354,584
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011FINRA$1,750,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011FINRA$12,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011FINRA$4,500,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2011FINRA$10,750,000
UBS SecuritiesUBSfinancial servicesinvestor protection violation2009FINRA$268,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2009FINRA$275,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2009FINRA$100,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008FINRA$1,000,000
UBS Securities, LLCUBSfinancial servicesinvestor protection violation2008FINRA$200,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007FINRA$370,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2006FINRA$225,000
UBS International Inc.UBSfinancial servicesinvestor protection violation2005FINRA$10,000
Credit Suisse First Boston, L.L.C.UBSfinancial servicesinvestor protection violation2004FINRA$50,000
Schwab Capital Markets, L.P.UBSfinancial servicesinvestor protection violation2004FINRA$70,000
UBS Securities, L.L.C.UBSfinancial servicesinvestor protection violation2004FINRA$10,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004FINRA$200,666
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2004FINRA$770,000
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
Schwab Capital MarketsUBSfinancial servicesinvestor protection violation2001FINRA$12,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2001FINRA$25,000
CS First Boston Corp.UBSfinancial servicesinvestor protection violation2000FINRA$1,240,000
Credit SuisseUBSfinancial servicesinvestor protection violation2021CFTC$1,500,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2021SEC$8,112,174
UBS AGUBSfinancial servicesinvestor protection violation2021CFTC$500,000
Credit Suisse Group AGUBSfinancial servicesfraud2021DOJ_CRIMINAL$175,500,000
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2021SEC$99,000,000
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2022FINRA$9,000,000
Credit Suisse Energy LLCUBSfinancial servicesutility service violation2017TX-PUC$7,500
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$25,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$925,000
Credit SuisseUBSfinancial servicesinvestor protection violation2022CFTC$75,000,000
UBS AGUBSfinancial servicesinvestor protection violation2022CFTC$75,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2022FINRA$2,500,000
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
Credit Suisse Securities (USA) LLC et al.UBSfinancial servicesinvestor protection violation2022NJ-AG$495,000,000
Credit Suisse AGUBSfinancial servicesprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
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 GroupAGUBSfinancial servicesprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Credit Suisse Securities (USA) LLCUBSfinancial servicesprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2020private lawsuit-federal$17,900,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2018private lawsuit-federal$141,075,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2018private lawsuit-federal$14,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2016private lawsuit-federal$32,000,000
UBS Group AGUBSfinancial servicesprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
UBS Securities LLCUBSfinancial servicesprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
UBSUBSfinancial servicesbanking violation2023TX-AG$850,000
Credit SuisseUBSfinancial servicesconsumer protection violation2016private lawsuit-federal$110,000,000
UBS Securities LLCUBSfinancial servicesconsumer protection violation2015private lawsuit-federal$78,333,333
Credit Suisse Group AGUBSfinancial servicesprice-fixing or anti-competitive practices2023private lawsuit-federal$550,000
UBS Group AGUBSfinancial servicesbanking violation2023FED$268,500,000
UBS AGUBSfinancial servicestoxic securities abuses2023DOJ_CIVIL$1,435,000,000
Credit Suisse AGUBSfinancial servicesprice-fixing or anti-competitive practices2023private lawsuit-federal$13,750,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2023SEC$10,000,000
TransoceanTransoceanoilfield services and suppliesoil spill2013EPA$1,000,000,000
Transocean Deepwater Inc.Transoceanoilfield services and suppliesoil spill2013EPA$400,000,000
Transocean Inc.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010DOJ_CRIMINAL$13,440,000
Transocean Inc.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010SEC$7,265,080
GlobalSantaFe Corp.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010SEC$5,858,165
Transocean Sedco ForexTransoceanoilfield services and supplieswage and hour violation2002WHD$131,614
TransoceanTransoceanoilfield services and suppliesoil spill2015AL-AG$20,000,000
Transocean Ltd.Transoceanoilfield services and suppliesoil spill2017private lawsuit-federal$211,750,000
Transocean Offshore Deepwater Drilling, IncTransoceanoilfield services and supplieswater pollution violation2023EPA$507,000
Transocean Offshore Deepwwater Drilling, Inc.Transoceanoilfield services and suppliesair pollution violation2011EPA$40,000
TRANSOCEAN OFFSHORE DEEP.DRILLTransoceanoilfield services and suppliesenvironmental violation2024EPA$507,000
ADC Telecommunications Inc.TE Connectivityelectrical and electronic equipmentFalse Claims Act and related2012DOJ_CIVIL$1,000,000
TYCO Electronics Power SystemsTE Connectivityelectrical and electronic equipmentlabor relations violation2003NLRB$96,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.