Violation Tracker

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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 Companies	Total Penalty $	Number of Records
UBS	$31,069,299,125	179
Novartis	$2,449,415,337	36
Transocean	$1,659,498,859	11
Glencore	$1,223,027,448	11
Holcim Group	$1,094,803,406	890
Sandoz Group	$693,683,118	12
Julius Baer Group	$626,000,000	2
ABB Ltd.	$566,854,938	53
Roche	$432,796,105	26
Zurich Insurance	$385,111,584	186

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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Company	Current Parent	Current Parent Industry	Primary Offense Type	Year	Agency	Penalty Amount
Holcim (US) Inc	Holcim Group	building materials	workplace safety or health violation	2008	MSHA	$8,209
Holcim (US) Inc	Holcim Group	building materials	workplace safety or health violation	2008	MSHA	$27,259
Holcim (US) Inc	Holcim Group	building materials	workplace safety or health violation	2008	MSHA	$27,259
Holcim (US) Inc	Holcim Group	building materials	workplace safety or health violation	2008	MSHA	$9,634
Holcim (US) Inc	Holcim Group	building materials	workplace safety or health violation	2008	MSHA	$5,961
Holcim (US) Inc	Holcim Group	building materials	workplace safety or health violation	2008	MSHA	$5,961
Lafarge Building Materials Incorporated	Holcim Group	building materials	workplace safety or health violation	2008	MSHA	$5,080
UBS Fund Advisor, LLC	UBS	financial services	data submission deficiencies	2009	CFTC	$50,000
SIKA CORPORATION	Sika AG	chemicals	motor vehicle safety violation	2009	FMCSA	$5,500
Credit Suisse AG	UBS	financial services	economic sanction violation	2009	DOJ_CRIMINAL	$268,000,000
Aggregate Industries-Northeast Region Inc.	Holcim Group	building materials	water pollution violation	2009	EPA	$2,750,000
UBS AG	UBS	financial services	tax violations	2009	DOJ_TAX	$780,000,000
UBS AG	UBS	financial services	tax violations	2009	SEC	$200,000,000
Adecco USA, Inc.	Adecco	business services	wage and hour violation	2009	WHD	$14,970
Adecco USA, Inc.	Adecco	business services	wage and hour violation	2009	WHD	$14,855
Nestle USA, Inc.	Nestle	food products	wage and hour violation	2009	WHD	$578,824
Givaudan Fragrances Corporation	Givaudan	miscellaneous manufacturing	labor relations violation	2009	NLRB	$5,457
Gerber Products Co.	Nestle	food products	employment discrimination	2009	OFCCP	$900,000
Lonza AG	Lonza	chemicals	price-fixing or anti-competitive practices	2009	MULTI-AG	$2,275,454
Nestle	Nestle	food products	consumer protection violation	2009	MULTI-AG	$325,000
Sandoz	Sandoz Group	pharmaceuticals	False Claims Act and related	2009	KY-AG	$16,000,000
Sika Corp.	Sika AG	chemicals	False Claims Act and related	2009	MA-AG	$200,000
The Chubb Corp.	Chubb Limited	financial services	consumer protection violation	2009	MA-AG	$239,011
Credit Suisse AG	UBS	financial services	economic sanction violation	2009	NY-MANDA	$268,000,000
Coast National Insurance Co.	Zurich Insurance	financial services	insurance violation	2009	AZ-DIFI	$38,000
Coast National Insurance Co.	Zurich Insurance	financial services	insurance violation	2009	CA-INS	$150,000
UBS Financial Services, Inc.	UBS	financial services	investor protection violation	2009	MO-SEC	$170,175
Farmers Insurance Company of Oregon	Zurich Insurance	financial services	insurance violation	2009	OR-FIN	$10,000
Zurich American Insurance Company	Zurich Insurance	financial services	insurance violation	2009	TX-INS	$15,000
Ace American Insurance Co.	Chubb Limited	financial services	insurance violation	2009	UT-INS	$141,500
Lafarge North America, Inc.	Holcim Group	building materials	air pollution violation	2009	AL-ENV	$10,000
Holcim (US) Inc.	Holcim Group	building materials	air pollution violation	2009	CO-DPHE	$74,625
LAFARGE NORTH AMERICA	Holcim Group	building materials	air pollution violation	2009	MD-ENV	$46,500
LAFARGE BUILDING MATERIALS INC	Holcim Group	building materials	air pollution violation	2009	SC-ENV	$106,000
UBS Securities	UBS	financial services	investor protection violation	2009	FINRA	$268,000
Credit Suisse Securities (USA), LLC	UBS	financial services	investor protection violation	2009	FINRA	$275,000
UBS Financial Services, Inc.	UBS	financial services	investor protection violation	2009	FINRA	$100,000
SWISSPORT USA, INC.	Swissport International	business services	workplace safety or health violation	2009	OSHA	$21,000
NBTY, INC.	Nestle	food products	workplace safety or health violation	2009	OSHA	$31,000
NBTY, INC.	Nestle	food products	workplace safety or health violation	2009	OSHA	$31,000
OTIS SPUNKMEYER	Aryzta	food products	workplace safety or health violation	2009	OSHA	$5,400
LAFARGE CEMENT	Holcim Group	building materials	workplace safety or health violation	2009	OSHA	$6,300
SULZER TURBO SERVICES HOUSTON, INC	Sulzer	construction and engineering	workplace safety or health violation	2009	OSHA	$23,275
ARCH CHEMICALS, INC.	Arxada	chemicals	workplace safety or health violation	2009	OSHA	$7,500
THOMAS & BETTS CORPORATION	ABB Ltd.	utilities and power generation	workplace safety or health violation	2009	OSHA	$13,000
Aggregate Industries Inc	Holcim Group	building materials	water pollution violation	2009	EPA	(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,750,000
Lonza Inc.	Lonza	chemicals	environmental violation	2009	EPA	$552,000
ARCH WOOD PROTECTION, INC.	Arxada	chemicals	environmental violation	2009	EPA	$18,633
Holcim (US) Incorporated	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$7,899
Holcim (US) Incorporated	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$7,578
Holcim (US) Incorporated	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$5,503
Lafarge Midwest Incorporated	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$11,306
Lafarge Midwest Incorporated	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$10,000
Lafarge Midwest Incorporated	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$14,844
Lafarge Midwest Incorporated	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$14,000
Lafarge Midwest Incorporated	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$5,645
Lafarge Midwest Incorporated	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$7,225
Lafarge Midwest Incorporated	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$7,225
Holcim - MAR, Inc.	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$7,176
Holcim - MAR, Inc.	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$7,176
Holcim (US) Inc.	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$5,000
Holcim (US) Inc	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$15,570
Holcim (US) Inc	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$5,961
Holcim (US) Inc	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$8,209
Holcim (US) Inc	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$14,373
Holcim (US) Inc	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$9,634
Holcim (US) Inc	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$9,634
Holcim (US) Inc	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$18,742
Holcim (US) Inc	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$8,209
Holcim (US) Inc	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$8,209
Holcim (US) Inc	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$6,996
Holcim (US) Inc	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$6,996
Holcim (US) Inc	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$6,996
Lafarge North America	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$5,080
Lafarge Building Materials Incorporated	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$5,503
Lafarge Building Materials Incorporated	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$10,795
Lafarge Building Materials Incorporated	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$5,961
Lafarge Building Materials Incorporated	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$20,000
Lafarge Building Materials Incorporated	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$5,000
Lafarge Building Materials Incorporated	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$13,900
Lafarge North America Inc	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$5,000
Lafarge North America Inc	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$9,000
Lafarge North America Inc	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$5,500
Lafarge North America Inc	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$5,000
Lafarge North America Inc	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$15,000
Lafarge North America Inc	Holcim Group	building materials	workplace safety or health violation	2009	MSHA	$6,000
Lafarge North America Inc.	Holcim Group	building materials	environmental violation	2010	EPA	$175,000,000
Novartis Pharmaceuticals Corporation	Novartis	pharmaceuticals	off-label or unapproved promotion of medical products	2010	FDA	$422,500,000
Kuhne + Nagel International AG	Kuehne & Nagel	freight and logistics	price-fixing or anti-competitive practices	2010	DOJ_ANTITRUST	$9,865,044
NBTY, Inc.	Nestle	food products	consumer protection violation	2010	FTC	$2,100,000
Transocean Inc.	Transocean	oilfield services and supplies	Foreign Corrupt Practices Act	2010	DOJ_CRIMINAL	$13,440,000
ABB Ltd.	ABB Ltd.	utilities and power generation	Foreign Corrupt Practices Act	2010	DOJ_CRIMINAL	$19,000,000
Transocean Inc.	Transocean	oilfield services and supplies	Foreign Corrupt Practices Act	2010	SEC	$7,265,080
GlobalSantaFe Corp.	Transocean	oilfield services and supplies	Foreign Corrupt Practices Act	2010	SEC	$5,858,165
ABB Ltd.	ABB Ltd.	utilities and power generation	Foreign Corrupt Practices Act	2010	SEC	$39,300,000
UBS Securities	UBS	financial services	data submission deficiencies	2010	CFTC	$200,000
Novartis Vaccines & Diagnostics Inc. and Novartis Pharmaceuticals Corporation	Novartis	pharmaceuticals	off-label or unapproved promotion of medical products	2010	FDA	$72,500,000
Eon Labs Inc.	Novartis	pharmaceuticals	False Claims Act and related	2010	DOJ_CIVIL	$3,500,000
Vitol Inc. and Vitol Capital Management Ltd.	Vitol	financial services	investor protection violation	2010	CFTC	$6,000,000
Noble Americas Corp.	Vitol	financial services	investor protection violation	2010	CFTC	$130,000
UBS AG	UBS	financial services	investor protection violation	2010	CFTC	$130,000