Indemnity Insurance Company of North America | Chubb Limited | financial services | insurance violation | 2023 | TX-INS | $90,950 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2023 | TX-INS | $17,000 |
Ace American Insurance Company | Chubb Limited | financial services | insurance violation | 2023 | TX-INS | $5,500 |
Indemnity Insurance Company of North America | Chubb Limited | financial services | insurance violation | 2023 | TX-INS | $19,000 |
Ace American Insurance Company | Chubb Limited | financial services | insurance violation | 2023 | TX-INS | $13,500 |
American Zurich Insurance Company | Zurich Insurance | financial services | insurance violation | 2023 | TX-INS | $27,000 |
Ace American Insurance Company | Chubb Limited | financial services | insurance violation | 2023 | TX-INS | $22,250 |
Mid-Century Insurance Company | Zurich Insurance | financial services | insurance violation | 2024 | NY-DFS | $150,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2023 | TX-INS | $18,000 |
Ace American Insurance Company | Chubb Limited | financial services | insurance violation | 2023 | TX-INS | $17,500 |
American Zurich Insurance Company | Zurich Insurance | financial services | insurance violation | 2024 | TX-INS | $17,000 |
Ace American Insurance Company | Chubb Limited | financial services | insurance violation | 2024 | TX-INS | $17,000 |
American Zurich Insurance Company | Zurich Insurance | financial services | insurance violation | 2023 | TX-INS | $12,000 |
American Zurich Insurance Company | Zurich Insurance | financial services | insurance violation | 2023 | TX-INS | $7,500 |
Ace American Insurance Company | Chubb Limited | financial services | insurance violation | 2024 | TX-INS | $6,200 |
Ace American Insurance Company | Chubb Limited | financial services | insurance violation | 2023 | TX-INS | $6,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2016 | SEC | $54,300,000 |
UBS Willow Management LLC and UBS Fund Advisor LLC | UBS | financial services | investor protection violation | 2015 | SEC | $17,500,000 |
UBS AG | UBS | financial services | investor protection violation | 2015 | SEC | $19,500,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | financial services | investor protection violation | 2015 | SEC | $15,000,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2015 | SEC | $14,400,000 |
Credit Suisse Group AG | UBS | financial services | investor protection violation | 2014 | SEC | $196,000,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | financial services | investor protection violation | 2012 | SEC | $26,600,000 |
UBS Global Asset Management | UBS | financial services | investor protection violation | 2012 | SEC | $300,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2011 | SEC | $8,000,000 |
Credit Suisse | UBS | financial services | investor protection violation | 2016 | CFTC | $665,000 |
UBS Financial Services | UBS | financial services | investor protection violation | 2014 | SEC | $56,400 |
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 |
Barry Callebaut Sourcing AG | Barry Callebaut | food products | investor protection violation | 2004 | CFTC | $25,000 |
Swiss Re Financial Products Corporation | Swiss Re | financial services | investor protection violation | 2007 | SEC | $95,000 |
Zurich Capital Markets Inc. | Zurich Insurance | financial services | investor protection violation | 2007 | SEC | $16,800,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2004 | SEC | $4,621,768 |
UBS PaineWebber, Inc. | UBS | financial services | investor protection violation | 2003 | SEC | $500,000 |
Credit Suisse First Boston LLC | UBS | financial services | investor protection violation | 2003 | SEC | $200,000,000 |
UBS Warburg LLC | UBS | financial services | investor protection violation | 2003 | SEC | $80,000,000 |
Credit Suisse First Boston Corporation | UBS | financial services | investor protection violation | 2002 | SEC | $100,000,000 |
PaineWebber Incorporated | UBS | financial services | investor protection violation | 2000 | SEC | $26,200,000 |
Warburg Dillon Read LLC | UBS | financial services | investor protection violation | 2000 | SEC | $6,680,000 |
UBS Financial Services | UBS | financial services | investor protection violation | 2016 | SEC | $15,025,882 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2017 | SEC | $3,500,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2017 | SEC | $5,754,714 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2015 | SEC | $480,000 |
UBS AG | UBS | financial services | investor protection violation | 2018 | CFTC | $15,000,000 |
UBS O'Connor, LLC | UBS | financial services | investor protection violation | 2013 | SEC | $5,297,716 |
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC | UBS | financial services | investor protection violation | 2011 | SEC | $2,500,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2018 | SEC | $5,000,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2005 | SEC | $700,000 |
Credit Suisse First Boston, LLC | UBS | financial services | investor protection violation | 2005 | SEC | $200,000 |
Donaldson, Lufkin & Jenrette Securities Corp. | UBS | financial services | investor protection violation | 2004 | SEC | $1,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2018 | SEC | $5,000,000 |
Credit Suisse First Boston Corp. | UBS | financial services | investor protection violation | 2002 | MULTI-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 Securities | UBS | financial services | investor protection violation | 2016 | NY-AG | $30,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2011 | NJ-AG | $1,057,996 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2018 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $10,000,000 |
UBS | UBS | financial services | investor protection violation | 2010 | MI-AG | $117,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2006 | NJ-AG | $24,750,000 |
UBS Financial Services, Inc | UBS | financial services | investor protection violation | 2013 | MULTI-AG | $4,580,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2013 | DE-AG | $70,077 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2007 | NY-AG | $23,300,000 |
UBS Securities LLC and UBS Financial Services, Inc | UBS | financial services | investor protection violation | 2011 | NJ-AG | $3,790,487 |
UBS Securities LLC and UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2008 | MULTI-AG | $11,150,000,000 |
UBS Warburg LLC | UBS | financial services | investor protection violation | 2002 | MULTI-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 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2010 | AK-DBS | $733,465 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2013 | AK-DBS | $64,661 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2007 | CT-SEC | $5,500,000 |
UBS Financial Services | UBS | financial services | investor protection violation | 2011 | IN-SEC | $677,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2007 | MO-SEC | $697,210 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2009 | MO-SEC | $170,175 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2006 | MT-FIN | $4,503,166 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2011 | NH-BSR | $1,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2012 | NH-BSR | $72,500 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2010 | TX-SEC | $6,640,432 |
UBS FINANCIAL SERVICES, INC. | UBS | financial services | investor protection violation | 2007 | VA-SEC | $100,000 |
UBS FINANCIAL SERVICES, INC. | UBS | financial services | investor protection violation | 2010 | VA-SEC | $625,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2019 | VA-SEC | $288,970 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2014 | VT-FIN | $325,000 |
Credit Suisse First Boston LLC | UBS | financial services | investor protection violation | 2003 | MULTI-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) LLC | UBS | financial services | investor protection violation | 2008 | MULTI-FIN | $15,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2013 | MULTI-FIN | $4,600,000 |
UBS Securities LLC and UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2008 | MULTI-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 PaineWebber | UBS | financial services | investor protection violation | 2003 | MULTI-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. | UBS | financial services | investor protection violation | 2020 | SEC | $10,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2020 | SEC | $600,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2019 | FINRA | $6,500,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2019 | FINRA | $2,000,000 |
UBS Financial Services Incorporated of Puerto Rico | UBS | financial services | investor protection violation | 2015 | FINRA | $18,500,000 |
Credit Suisse Securities (USA), LLC | UBS | financial services | investor protection violation | 2014 | FINRA | $5,000,000 |
UBS Financial Services | UBS | financial services | investor protection violation | 2012 | FINRA | $2,354,584 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2011 | FINRA | $1,750,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2011 | FINRA | $12,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2011 | FINRA | $4,500,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2011 | FINRA | $10,750,000 |
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 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2008 | FINRA | $1,000,000 |
UBS Securities, LLC | UBS | financial services | investor protection violation | 2008 | FINRA | $200,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2007 | FINRA | $370,000 |
Credit Suisse Securities (USA), LLC | UBS | financial services | investor protection violation | 2006 | FINRA | $225,000 |