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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 ParentCurrent Parent IndustryPrimary Offense TypeYear sort iconAgencyPenalty Amount
Universal Underwriters Life Insurance Co.Zurich Insurancefinancial servicesconsumer protection violation2008TX-AG$2,400,000
Zurich American Insurance Co.Zurich Insurancefinancial servicesinsurance violation2008FL-OFR$8,000
Bristol West Insurance Co.Zurich Insurancefinancial servicesinsurance violation2008ID-INS$5,330
Illinois Farmers Insurance Co.Zurich Insurancefinancial servicesinsurance violation2008MN-FIN$70,000
Federal Insurance Co.Chubb Limitedfinancial servicesinsurance violation2008MO-INS$5,900
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2008TX-INS$17,500
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2008TX-INS$14,875
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2008TX-INS$18,000
Ace American Insurance Company et al.Chubb Limitedfinancial servicesinsurance violation2008TX-INS$50,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2008TX-INS$37,500
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2008TX-INS$7,500
Universal Underwriters Service Corp.Zurich Insurancefinancial servicesinsurance violation2008WI-INS$10,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2008MULTI-FIN$15,000,000
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
HOLCIM (US) INCHolcim Groupbuilding materialsenvironmental violation2008PA-ENV$612,000
HOLCIM (US) INCHolcim Groupbuilding materialsenvironmental violation2008PA-ENV$70,000
Baldor Electric CompanyABB Ltd.utilities and power generationhazardous waste violation2008AR-ENV$5,625
Pentair Pump Group IncPentairindustrial equipmentenvironmental violation2008LA-ENV$11,205
HOLCIM US INCHolcim Groupbuilding materialsenvironmental violation2008MA-ENV$28,000
LAFARGE NORTH AMERICAHolcim Groupbuilding materialsair pollution violation2008MD-ENV$20,000
LAFARGE NORTH AMERICA GYPSUM DIVHolcim Groupbuilding materialsair pollution violation2008NJ-ENV$16,200
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2008NJ-ENV$5,700
LAFARGE BUILDING MATERIALS INCHolcim Groupbuilding materialsair pollution violation2008SC-ENV$90,000
HOLCIM US INCHolcim Groupbuilding materialsair pollution violation2008SC-ENV$6,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008FINRA$1,000,000
UBS Securities, LLCUBSfinancial servicesinvestor protection violation2008FINRA$200,000
Hoffmann-La Roche Inc.Rochepharmaceuticalsprice-fixing or anti-competitive practices2008private lawsuit-federal$11,000,000
SWISSPORT USA INCSwissport Internationalbusiness servicesworkplace safety or health violation2008OSHA$7,500
SWISSPORT USA, INC.Swissport Internationalbusiness servicesworkplace safety or health violation2008OSHA$5,400
BARRY CALLEBAUT USA LLCBarry Callebautfood productsworkplace safety or health violation2008OSHA$5,000
LAFARGE BUILDING MATERIALS, INC.Holcim Groupbuilding materialsworkplace safety or health violation2008OSHA$6,300
SCHINDLER ELEVATOR CORPORATIONSchindlermiscellaneous manufacturingworkplace safety or health violation2008OSHA$5,850
LAFARGE NORTH AMERICA INCHolcim Groupbuilding materialsworkplace safety or health violation2008OSHA$7,000
SCHINDLER ELEVATOR CORP.Schindlermiscellaneous manufacturingworkplace safety or health violation2008OSHA$6,000
Lonza IncLonzachemicalsenvironmental violation2008EPA$575,000
Thomas & Betts Caribe, Inc.ABB Ltd.utilities and power generationenvironmental violation2008EPA$17,710
NESTLE PREPARED FOODS COMPANYNestlefood productsenvironmental violation2008EPA$24,884
CLARIANT CORPORATIONClariantchemicalswater pollution violation2008EPA$9,000
Holcim (US) IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$8,965
Holcim (US) IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$7,078
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$7,578
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$8,421
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$8,421
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$8,573
Lafarge North AmericaHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$5,961
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$6,225
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$6,225
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$6,225
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$6,225
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$6,225
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$6,225
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$6,225
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$7,114
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$7,114
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$7,114
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$6,062
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$7,114
Lafarge Midwest IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$7,578
Lafarge Midwest IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$11,306
Lafarge Midwest IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$7,578
Lafarge Midwest IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$6,996
Lafarge Midwest IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$6,996
Lafarge Midwest IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$5,961
Lafarge Midwest IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$5,961
Lafarge Midwest IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$6,458
Lafarge Building Materials IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$5,503
Lafarge Building Materials IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$5,503
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$7,578
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$8,209
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$8,209
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$8,209
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$27,259
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$27,259
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$9,634
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$5,961
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$5,961
Lafarge Building Materials IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2008MSHA$5,080
SIKA CORPORATIONSika AGchemicalsmotor vehicle safety violation2007FMCSA$11,280
Swiss Re Financial Products CorporationSwiss Refinancial servicesinvestor protection violation2007SEC$95,000
Zurich Capital Markets Inc.Zurich Insurancefinancial servicesinvestor protection violation2007SEC$16,800,000
Sulzer Enpro Inc.Sulzerconstruction and engineeringwage and hour violation2007WHD$6,789
UBS Financial Services, Inc.UBSfinancial serviceswage and hour violation2007WHD$27,152
Otis Spunkmeyer, Inc.Aryztafood productswage and hour violation2007WHD$46,063
Lattimore Materials Co.Holcim Groupbuilding materialslabor relations violation2007NLRB$342,916
Kuehne & NagelKuehne & Nagelfreight and logisticslabor relations violation2007NLRB$14,616
Aggregate Industries Northeast Region Inc.Holcim Groupbuilding materialsfraud2007USAO$50,000,000
UBSUBSfinancial serviceswage and hour violation2007private lawsuit-federal$44,000,000
UBSUBSfinancial serviceswage and hour violation2007private lawsuit-federal$45,000,000
ACE LimitedChubb Limitedfinancial servicesprice-fixing or anti-competitive practices2007PA-AG$9,000,000
ACE Group Holdings, Inc.Chubb Limitedfinancial servicesprice-fixing or anti-competitive practices2007MULTI-AG$4,500,000
Aggregate Industries Northeast Region, Inc.Holcim Groupbuilding materialsFalse Claims Act and related2007MA-AG(*)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
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007NY-AG$23,300,000
VITOL, S.A.Vitolfinancial serviceskickbacks and bribery2007NY-MANDA$17,500,000
21st Century Insurance Co. and 21st Century Casualty Co.Zurich Insurancefinancial servicesinsurance violation2007CA-INS$50,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2007CT-SEC$5,500,000
Ace American Insurance Co.Chubb Limitedfinancial servicesinsurance violation2007FL-OFR$56,000
Universal Underwriters Insurance Co.Zurich Insurancefinancial servicesinsurance violation2007MO-INS$6,530
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007MO-SEC$697,210
Universal Underwriters Insurance CompanyZurich Insurancefinancial servicesinsurance violation2007NH-INS$28,125
Farmers Insurance Company of OregonZurich Insurancefinancial servicesinsurance violation2007OR-FIN$20,000
Mid-Century Insurance CompanyZurich Insurancefinancial servicesinsurance violation2007OR-FIN$20,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.