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Violation Tracker Current Parent Headquarters Summary Page

HQ Country: Switzerland
Current Parent Penalty Total since 2000: $41,038,911,396
Number of Records: 2,090
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 TypeYearAgencyPenalty Amount sort icon
UBS Securities LLC and UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008MULTI-AG$11,150,000,000
Credit SuisseUBSfinancial servicestoxic securities abuses2017DOJ_CIVIL$5,280,000,000
Credit Suisse AGUBSfinancial servicestax violations2014DOJ_TAX$1,800,000,000
UBS AGUBSfinancial servicestoxic securities abuses2023DOJ_CIVIL$1,435,000,000
Glencore International A.G.Glencorefinancial servicesprice-fixing or anti-competitive practices2022CFTC$1,186,000,000
Glencore International A.G. and Glencore Ltd.Glencorefinancial servicesForeign Corrupt Practices Act2022DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,185,000,000
TransoceanTransoceanoilfield services and suppliesenvironmental violation2013EPA$1,000,000,000
Credit SuisseUBSfinancial servicestoxic securities abuses2014FHFA$885,000,000
UBS Americas Inc.UBSfinancial servicestoxic securities abuses2013FHFA$885,000,000
UBS AGUBSfinancial servicestax violations2009DOJ_TAX$780,000,000
Lafarge S.A.Holcim Groupbuilding materialspayment to designated terrorist organization2022USAO$777,780,000
Credit Suisse AGUBSfinancial servicestax violations2014NY-DFS$715,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2012CFTC$700,000,000
Novartis Pharmaceuticals CorporationNovartispharmaceuticalsFalse Claims Act and related2020DOJ_CIVIL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $642,000,000
Bank Julius Baer & Co. Ltd.Julius Baer Groupfinancial servicestax violations2016DOJ_TAX$547,000,000
UBS Securities Japan Co. Ltd.UBSfinancial servicesprice-fixing or anti-competitive practices2012DOJ_ANTITRUST$500,000,000
Credit Suisse Securities (USA) LLC et al.UBSfinancial servicesinvestor protection violation2022NJ-AG$495,000,000
UBSUBSfinancial servicestoxic securities abuses2017NCUA$445,000,000
Novartis Pharmaceuticals CorporationNovartispharmaceuticalsoff-label or unapproved promotion of medical products2010FDA$422,500,000
Transocean Deepwater Inc.Transoceanoilfield services and suppliesenvironmental violation2013EPA$400,000,000
Novartis PharmaceuticalsNovartispharmaceuticalskickbacks and bribery2015USAO$390,000,000
UBS AGUBSfinancial servicesbanking violation2015FED$342,000,000
ABB Ltd.ABB Ltd.utilities and power generationForeign Corrupt Practices Act2022DOJ_CRIMINAL$315,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2014CFTC$290,000,000
UBS Group AGUBSfinancial servicesbanking violation2023FED$268,500,000
Credit Suisse AGUBSfinancial serviceseconomic sanction violation2009DOJ_CRIMINAL$268,000,000
Credit Suisse AGUBSfinancial serviceseconomic sanction violation2009NY-MANDA$268,000,000
Novartis Hellas S.A.C.I. et al.NovartispharmaceuticalsForeign Corrupt Practices Act2020DOJ_CRIMINAL$233,000,000
UBS Securities LLCUBSfinancial servicestoxic securities abuses2018NY-AG$230,000,000
Transocean Ltd.Transoceanoilfield services and suppliesenvironmental violation2017private lawsuit-federal$211,750,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$203,000,000
UBS AGUBSfinancial servicestax violations2009SEC$200,000,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003SEC$200,000,000
Credit Suisse First Boston Corp.UBSfinancial servicesinvestor protection violation2002MULTI-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 Group AGUBSfinancial servicesinvestor protection violation2014SEC$196,000,000
Sandoz Inc.Sandoz Grouppharmaceuticalsprice-fixing or anti-competitive practices2020DOJ_ANTITRUST$195,000,000
Union Bancaire PriveeUnion Bancaire Priveefinancial servicestax violations2016DOJ_TAX$187,000,000
Sandoz Inc.Sandoz GrouppharmaceuticalsFalse Claims Act and related2021DOJ_CIVIL$185,000,000
Credit Suisse Group AGUBSfinancial servicesfraud2021DOJ_CRIMINAL$175,500,000
Lafarge North America Inc.Holcim Groupbuilding materialsenvironmental violation2010EPA$175,000,000
Novartis CorporationNovartispharmaceuticalsemployment discrimination2010private lawsuit-federal$175,000,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesprice-fixing or anti-competitive practices2006MULTI-AG$171,700,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$160,000,000
Credit Suisse GroupAGUBSfinancial servicesprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
UBS Group AGUBSfinancial servicesprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
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
Sandoz Inc.Sandoz Grouppharmaceuticalsprice-fixing or anti-competitive practices2011private lawsuit-federal$150,000,000
Hoffman-LaRocheRochepharmaceuticalsprice-fixing or anti-competitive practices2000MULTI-AG$142,494,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2018private lawsuit-federal$141,075,000
Credit Suisse AGUBSfinancial servicesprice-fixing or anti-competitive practices2017NY-DFS$135,000,000
Vitol Inc.Vitolfinancial servicesForeign Corrupt Practices Act2020DOJ_CRIMINAL$135,000,000
Hoffmann-La RocheRochepharmaceuticalsprice-fixing or anti-competitive practices2000private lawsuit-federal$130,000,000
Novartis AGNovartispharmaceuticalsprice-fixing or anti-competitive practices2023private lawsuit-federal$126,850,000
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)UBSfinancial servicestoxic securities abuses2012SEC$120,000,000
UBSUBSfinancial servicesinvestor protection violation2010MI-AG$117,000,000
Novartis AGNovartispharmaceuticalsForeign Corrupt Practices Act2020SEC$112,800,000
Credit SuisseUBSfinancial servicesconsumer protection violation2016private lawsuit-federal$110,000,000
Novartis Pharmaceuticals Corp.Novartispharmaceuticalskickbacks and bribery2020MULTI-AG$103,000,000
Credit Suisse AGUBSfinancial servicesbanking violation2014FED$100,000,000
UBS AGUBSfinancial serviceseconomic sanction violation2004FED$100,000,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2002SEC$100,000,000
NovartisNovartispharmaceuticalswage and hour violation2012private lawsuit-federal$99,000,000
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2021SEC$99,000,000
Vitol Inc.Vitolfinancial servicesfraud2020CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2011MULTI-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
Credit Suisse AGUBSfinancial servicesaccounting fraud or deficiencies2016SEC$90,000,000
Novartis Pharmaceuticals CorporationNovartispharmaceuticalsoff-label or unapproved promotion of medical products2010MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $88,258,694
Sandoz Inc.Sandoz Grouppharmaceuticalsprice-fixing or anti-competitive practices2020private lawsuit-federal$85,000,000
Novartis Pharmaceuticals CorporationNovartispharmaceuticalskickbacks and bribery2015MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $83,129,754
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2003SEC$80,000,000
ACE, LtdChubb Limitedfinancial servicesprice-fixing or anti-competitive practices2006MULTI-AG$80,000,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2002MULTI-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
Bank Julius Baer & Co. Ltd.Julius Baer Groupfinancial servicesmoney laundering2021DOJ_CRIMINAL$79,000,000
UBS Securities LLCUBSfinancial servicesconsumer protection violation2015private lawsuit-federal$78,333,333
Swiss Life Holding AG et al.Swiss Life Groupfinancial servicestax violations2021DOJ_TAX$77,374,337
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 SuisseUBSfinancial servicesinvestor protection violation2022CFTC$75,000,000
UBS AGUBSfinancial servicesinvestor protection violation2022CFTC$75,000,000
ABB LtdABB Ltd.utilities and power generationForeign Corrupt Practices Act2022SEC$75,000,000
Novartis Vaccines & Diagnostics Inc. and Novartis Pharmaceuticals CorporationNovartispharmaceuticalsoff-label or unapproved promotion of medical products2010FDA$72,500,000
ACE American Insurance Company ET AL.Chubb Limitedfinancial servicesFalse Claims Act and related2010NY-AG$70,000,000
UBSUBSfinancial servicestoxic securities abuses2016NCUA$69,800,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2018MULTI-AG$68,000,000
ABB Inc.ABB Ltd.utilities and power generationbenefit plan administrator violation2019private lawsuit-federal$55,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2016SEC$54,300,000
ABB Middle East & Africa Participations AGABB Ltd.utilities and power generationprice-fixing or anti-competitive practices2001DOJ_ANTITRUST$53,000,000
Credit SuisseUBSfinancial servicestoxic securities abuses2016NCUA$50,300,000
UBS SecuritiesUBSfinancial servicestoxic securities abuses2013SEC$50,000,000
Aggregate Industries Northeast Region Inc.Holcim Groupbuilding materialsfraud2007USAO$50,000,000
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
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
Credit Suisse AGUBSfinancial servicesprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Hoffman-LaRocheRochepharmaceuticalsprice-fixing or anti-competitive practices2000CA-AG$47,498,000
Credit Suisse (Hong Kong) LimitedUBSfinancial servicesForeign Corrupt Practices Act2018DOJ_CRIMINAL$47,029,916
UBSUBSfinancial serviceswage and hour violation2007private lawsuit-federal$45,000,000
UBSUBSfinancial serviceswage and hour violation2007private lawsuit-federal$44,000,000
ABB Ltd.ABB Ltd.utilities and power generationForeign Corrupt Practices Act2010SEC$39,300,000
Zurich American Insurance Company et al.Zurich Insurancefinancial servicesFalse Claims Act and related2010NY-AG$37,500,000
InterMune Inc.Rochepharmaceuticalsoff-label or unapproved promotion of medical products2006FDA$36,900,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.