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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
UBS (USA) IncUBSfinancial serviceseconomic sanction violation2003OFAC$14,750
UBS (USA) IncUBSfinancial serviceseconomic sanction violation2003OFAC$5,000
UBS PaineWebber, Inc.UBSfinancial servicesinvestor protection violation2003SEC$500,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003SEC$200,000,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2003SEC$80,000,000
TYCO Electronics Power SystemsTE Connectivityelectrical and electronic equipmentlabor relations violation2003NLRB$96,000
Thomas & Betts CorporationABB Ltd.utilities and power generationlabor relations violation2003NLRB$17,140
LaFarge GypsumHolcim Groupbuilding materialslabor relations violation2003NLRB$6,750
Barry Callebaut, Inc.Barry Callebautfood productslabor relations violation2003NLRB$37,757
Nestle USA IncNestlefood productslabor relations violation2003NLRB$9,800
Thomas & BettsABB Ltd.utilities and power generationemployment discrimination2003private lawsuit-federal$698,610
Farmers Insurance GroupZurich Insurancefinancial servicesconsumer protection violation2003TX-AG$2,400,000
Federal Insurance Co. et al.Chubb Limitedfinancial servicesinsurance violation2003CA-INS$403,652
Ace American Insurance Co.Chubb Limitedfinancial servicesinsurance violation2003FL-OFR$6,000
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2003MA-INS$40,000
Illinois Farmers Insurance Co.Zurich Insurancefinancial servicesinsurance violation2003MN-FIN$20,000
Illinois Farmers Insurance Co.Zurich Insurancefinancial servicesinsurance violation2003MN-FIN$10,000
Foremost Insurance Co.Zurich Insurancefinancial servicesinsurance violation2003MN-FIN$5,000
Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2003WA-INS$500,000
Foremost Insurance Co.Zurich Insurancefinancial servicesinsurance violation2003WI-INS$8,500
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
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
LONZA INCLonzachemicalsenvironmental violation2003PA-ENV$8,500
Lafarge Aggregates SoutheastHolcim Groupbuilding materialswater pollution violation2003GA-ENV$9,000
LAFARGE CORPORATIONHolcim Groupbuilding materialsair pollution violation2003KY-ENV$250,000
AGGREGATE INDUSTRIES NORTHEAST REGIONHolcim Groupbuilding materialsenvironmental violation2003MA-ENV$5,000
ARYZTAAryztafood productswater pollution violation2003NJ-ENV$11,000
SIKA CORPSika AGchemicalswater pollution violation2003NJ-ENV$10,545
NESTLE USA BEVERAGE DIVISIONNestlefood productsair pollution violation2003NJ-ENV$125,550
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2003NJ-ENV$47,840
NESTLE PREPARED FOODS COMPANYNestlefood productswater pollution violation2003SC-ENV$5,600
OTIS SPUNKMEYER, INCAryztafood productsworkplace safety or health violation2003OSHA$6,210
NESTLE USANestlefood productsworkplace safety or health violation2003OSHA$18,675
GENENTECHRochepharmaceuticalsworkplace safety or health violation2003OSHA$11,240
ADECCOAdeccobusiness servicesworkplace safety or health violation2003OSHA$50,375
TYCO ELECTRONICSTE Connectivityelectrical and electronic equipmentworkplace safety or health violation2003OSHA$19,270
LAFARGE ROAD MARKINGHolcim Groupbuilding materialsworkplace safety or health violation2003OSHA$6,595
LAFARGE ROAD MARKINGHolcim Groupbuilding materialsworkplace safety or health violation2003OSHA$9,650
A. FINKL & SONS CO.Swiss Steelmetalsworkplace safety or health violation2003OSHA$10,500
Givaudan Flavors CorporationGivaudanmiscellaneous manufacturinghazardous waste violation2003EPA$38,770
BFS DIVERSIFIED PRODUCTS, LLCHolcim Groupbuilding materialsenvironmental violation2003EPA$15,356
LONZA, INCLonzachemicalsenvironmental violation2003EPA$170,000
Lafarge Joliet IncHolcim Groupbuilding materialsworkplace safety or health violation2003MSHA$26,200
Lafarge Joliet IncHolcim Groupbuilding materialsworkplace safety or health violation2003MSHA$13,100
Lafarge North AmericaHolcim Groupbuilding materialsworkplace safety or health violation2003MSHA$5,300
Holcim (US) Inc.Holcim Groupbuilding materialsworkplace safety or health violation2003MSHA$35,400
Holcim (US) Inc.Holcim Groupbuilding materialsworkplace safety or health violation2003MSHA$35,400
Holcim (US) Inc.Holcim Groupbuilding materialsworkplace safety or health violation2003MSHA$21,200
Barry Callebaut Sourcing AGBarry Callebautfood productsinvestor protection violation2004CFTC$25,000
UBS AGUBSfinancial serviceseconomic sanction violation2004FED$100,000,000
Barry Callebaut USA, IncBarry Callebautfood productseconomic sanction violation2004OFAC$6,852
Chiron Corporation LtdNovartispharmaceuticalseconomic sanction violation2004OFAC$168,500
ABB LtdABB Ltd.utilities and power generationForeign Corrupt Practices Act2004SEC$5,900,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004SEC$4,621,768
NBTY, Inc.Nestlefood productswage and hour violation2004WHD$122,381
Ghirardelli ChocolateLindt & Sprunglifood productslabor relations violation2004NLRB$12,998
ABB, Inc.ABB Ltd.utilities and power generationlabor relations violation2004NLRB$6,626
Aggregate Industries (Middlesex Materials NE)Holcim Groupbuilding materialslabor relations violation2004NLRB$223,976
Systech Environmental Corp.Holcim Groupbuilding materialsrailroad safety violation2004FRA$15,200
Donaldson, Lufkin & Jenrette Securities Corp.UBSfinancial servicesinvestor protection violation2004SEC$1,000,000
Tyco Electronics Printed Circuit GroupTE Connectivityelectrical and electronic equipmentwater pollution violation2004CT-AG$4,400,000
NBTY, Inc.Nestlefood productsControlled Substances Act violation2004USAO$950,000
Bristol West Insurance Co.Zurich Insurancefinancial servicesinsurance violation2004FL-OFR$26,500
Universal Underwriter Insurance Co.Zurich Insurancefinancial servicesinsurance violation2004MN-FIN$200,000
Foremost Insurance Co. at al.Zurich Insurancefinancial servicesinsurance violation2004MN-FIN$75,000
Combined Insurance Company of AmericaChubb Limitedfinancial servicesinsurance violation2004OR-FIN$10,000
Bristol West Insurance CompanyZurich Insurancefinancial servicesinsurance violation2004PA-INS$10,000
AMERICAN ZURICH INSURANCE COZurich Insurancefinancial servicesinsurance violation2004VA-INS$5,000
FEDERAL INSURANCE CO., ET AL.Chubb Limitedfinancial servicesinsurance violation2004VA-INS$65,000
HOLCIM (US) INCHolcim Groupbuilding materialsenvironmental violation2004PA-ENV$175,500
HOLCIM (US) INCHolcim Groupbuilding materialsenvironmental violation2004PA-ENV$55,263
LaFarge Building MaterialsHolcim Groupbuilding materialsair pollution violation2004AL-ENV$20,000
Tyco Electronics Corp.TE Connectivityelectrical and electronic equipmenthazardous waste violation2004CA-DTSC$25,650
Tyco Electronics Corp.TE Connectivityelectrical and electronic equipmenthazardous waste violation2004CA-DTSC$28,258
ARYZTAAryztafood productswater pollution violation2004NJ-ENV$50,000
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2004NJ-ENV$56,080
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2004NJ-ENV$21,280
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2004NJ-ENV$16,480
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsair pollution violation2004NJ-ENV$12,960
CAPSUGELLonzachemicalsair pollution violation2004SC-ENV$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
Lonza AGLonzachemicalsprice-fixing or anti-competitive practices2004private lawsuit-federal$27,240,000
SWISSPORTSwissport Internationalbusiness servicesworkplace safety or health violation2004OSHA$5,000
TYCO ELECTRONICS CORP.TE Connectivityelectrical and electronic equipmentworkplace safety or health violation2004OSHA$10,395
OTIS SPUNKMEYER INCAryztafood productsworkplace safety or health violation2004OSHA$5,920
Tyco Electronics WaterburyTE Connectivityelectrical and electronic equipmentenvironmental violation2004EPA$5,000
Lonza, Inc.Lonzachemicalsenvironmental violation2004EPA$50,000
BFS DIVERSIFIED PRODUCTS, LLCHolcim Groupbuilding materialsair pollution violation2004EPA$26,018
LONZA GROUP, INC.Lonzachemicalsenvironmental violation2004EPA$31,790
Lafarge West, Inc.Holcim Groupbuilding materialswater pollution violation2004EPA$5,400
HOLCIM (US) INCHolcim Groupbuilding materialsenvironmental violation2004EPA$5,000
Sika CorporationSika AGchemicalsenvironmental violation2004EPA$60,280
Lafarge Building MaterialsHolcim Groupbuilding materialsworkplace safety or health violation2004MSHA$5,500
Holcim (US) Inc.Holcim Groupbuilding materialsworkplace safety or health violation2004MSHA$11,750
Holcim (US) Inc.Holcim Groupbuilding materialsworkplace safety or health violation2004MSHA$21,250
Holcim (US) IncHolcim Groupbuilding materialsworkplace safety or health violation2004MSHA$7,200
ABB INCABB Ltd.utilities and power generationmotor vehicle safety violation2005FMCSA$6,680
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.