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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 Type sort iconYearAgencyPenalty Amount
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2006FINRA$225,000
UBS International Inc.UBSfinancial servicesinvestor protection violation2005FINRA$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
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
Schwab Capital MarketsUBSfinancial servicesinvestor protection violation2001FINRA$12,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2001FINRA$25,000
CS First Boston Corp.UBSfinancial servicesinvestor protection violation2000FINRA$1,240,000
Credit SuisseUBSfinancial servicesinvestor protection violation2021CFTC$1,500,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2021SEC$8,112,174
UBS AGUBSfinancial servicesinvestor protection violation2021CFTC$500,000
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2022FINRA$9,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$25,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$925,000
Credit SuisseUBSfinancial servicesinvestor protection violation2022CFTC$75,000,000
UBS AGUBSfinancial servicesinvestor protection violation2022CFTC$75,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2022FINRA$2,500,000
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) LLC et al.UBSfinancial servicesinvestor protection violation2022NJ-AG$495,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2023SEC$10,000,000
Novartis PharmaceuticalsNovartispharmaceuticalskickbacks and bribery2015USAO$390,000,000
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
VITOL, S.A.Vitolfinancial serviceskickbacks and bribery2007NY-MANDA$17,500,000
Novartis Pharmaceuticals CorporationNovartispharmaceuticalskickbacks and bribery2020CA-AG$11,800,000
Novartis Pharmaceuticals Corp.Novartispharmaceuticalskickbacks and bribery2020MULTI-AG$103,000,000
Aggregate Industries USHolcim Groupbuilding materialslabor relations violation2017NLRB$17,214
UBS Inc.UBSfinancial serviceslabor relations violation2010NLRB$26,351
Givaudan Fragrances CorporationGivaudanmiscellaneous manufacturinglabor relations violation2009NLRB$5,457
Sika CorporationSika AGchemicalslabor relations violation2008NLRB$5,200
Givaudan Fragrances Corp.Givaudanmiscellaneous manufacturinglabor relations violation2008NLRB$14,365
Lattimore Materials Co.Holcim Groupbuilding materialslabor relations violation2007NLRB$342,916
Kuehne & NagelKuehne & Nagelfreight and logisticslabor relations violation2007NLRB$14,616
Nestle Purina PetCareNestlefood productslabor relations violation2006NLRB$43,519
ABB Inc.ABB Ltd.utilities and power generationlabor relations violation2006NLRB$20,000
Lafarge North America - Gypsum DivisionHolcim Groupbuilding materialslabor relations violation2005NLRB$6,034
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
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
Novartis NutritionNestlefood productslabor relations violation2002NLRB$70,569
Novartis NutritionNestlefood productslabor relations violation2002NLRB$66,839
Nestle Nutrition DivisionNestlefood productslabor relations violation2002NLRB$25,000
Barry Callebaut U.S.A., Inc.Barry Callebautfood productslabor relations violation2001NLRB$30,000
Lattimore Materials Co. L.P.Holcim Groupbuilding materialslabor relations violation2001NLRB$45,000
Lattimore Materials Company, L.P.Holcim Groupbuilding materialslabor relations violation2001NLRB$27,000
Otis Spunkmeyer, Inc.Aryztafood productslabor relations violation2000NLRB$6,500
Intermune, Inc.RochepharmaceuticalsMedicare Coverage Gap Discount Program violation2013CMS$5,641
Intermune, Inc.RochepharmaceuticalsMedicare Coverage Gap Discount Program violation2013CMS$16,215
Aggregate Industries - WCR, Inc.Holcim Groupbuilding materialsmining environmental violation2018CO-DRMS$10,000
Aggregate Industries - WCR, Inc.Holcim Groupbuilding materialsmining environmental violation2015CO-DRMS$35,000
Bank Julius Baer & Co. Ltd.Julius Baer Groupfinancial servicesmoney laundering2021DOJ_CRIMINAL$79,000,000
SIKA CORPORATIONSika AGchemicalsmotor vehicle safety violation2009FMCSA$5,500
SIKA CORPORATIONSika AGchemicalsmotor vehicle safety violation2007FMCSA$11,280
CAMBREX BIO SCIENCE WALKERSVILLE, INCLonzachemicalsmotor vehicle safety violation2006FMCSA$6,050
ABB INCABB Ltd.utilities and power generationmotor vehicle safety violation2005FMCSA$6,680
Novartis Pharmaceuticals CorporationNovartispharmaceuticalsoff-label or unapproved promotion of medical products2010FDA$422,500,000
Novartis Vaccines & Diagnostics Inc. and Novartis Pharmaceuticals CorporationNovartispharmaceuticalsoff-label or unapproved promotion of medical products2010FDA$72,500,000
InterMune Inc.Rochepharmaceuticalsoff-label or unapproved promotion of medical products2006FDA$36,900,000
Genentech Inc.Rochepharmaceuticalsoff-label or unapproved promotion of medical products2000MULTI-AG$19,000,000
InterMune Inc.Rochepharmaceuticalsoff-label or unapproved promotion of medical products2006MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $6,700,000
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
Novartis Vaccines & Diagnostics Inc. and 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. $29,000,000
Novartis PharmaceuticalsNovartispharmaceuticalsoff-label or unapproved promotion of medical products2012TX-AG$6,638,250
TransoceanTransoceanoilfield services and suppliesoil spill2013EPA$1,000,000,000
Transocean Deepwater Inc.Transoceanoilfield services and suppliesoil spill2013EPA$400,000,000
BOSFuel Corp. and Swissport Fueling, Inc.Swissport Internationalbusiness servicesoil spill2012EPA$90,000
TransoceanTransoceanoilfield services and suppliesoil spill2015AL-AG$20,000,000
Transocean Ltd.Transoceanoilfield services and suppliesoil spill2017private lawsuit-federal$211,750,000
Lafarge S.A.Holcim Groupbuilding materialspayment to designated terrorist organization2022USAO$777,780,000
LAFARGE NORTH AMERICA, INCHolcim Groupbuilding materialsPCB violation2011EPA$8,260
Arch Chemicals, Inc.Arxadachemicalspesticide violation2014CA-DPR$318,740
Arch Wood Protection, Inc.Arxadachemicalspesticide violation2014CA-DPR$78,951
Lonza Inc.Lonzachemicalspesticide violation2013CA-DPR$16,402
Nestle Purina PetCare CompanyNestlefood productspesticide violation2012CA-DPR$55,000
Arch Chemicals, Inc.Arxadachemicalspesticide violation2010CA-DPR$19,360
Lonza Inc.Lonzachemicalspesticide violation2006CA-DPR$39,000
Arch Chemicals, Inc.Arxadachemicalspesticide violation2006CA-DPR$114,900
UBS Securities Japan Co. Ltd.UBSfinancial servicesprice-fixing or anti-competitive practices2012DOJ_ANTITRUST$500,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$160,000,000
Kuhne + Nagel International AGKuehne & Nagelfreight and logisticsprice-fixing or anti-competitive practices2010DOJ_ANTITRUST$9,865,044
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$203,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2014CFTC$290,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2012CFTC$700,000,000
ABB Middle East & Africa Participations AGABB Ltd.utilities and power generationprice-fixing or anti-competitive practices2001DOJ_ANTITRUST$53,000,000
ACE GroupChubb Limitedfinancial servicesprice-fixing or anti-competitive practices2011OH-AG$1,970,000
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
ACE, LtdChubb Limitedfinancial servicesprice-fixing or anti-competitive practices2006MULTI-AG$80,000,000
Aggregate IndustriesHolcim Groupbuilding materialsprice-fixing or anti-competitive practices2002MA-AG$20,000
ChubbChubb Limitedfinancial servicesprice-fixing or anti-competitive practices2006MULTI-AG$17,000,000
CIBA VisionNovartispharmaceuticalsprice-fixing or anti-competitive practices2000MULTI-AG$5,000,000
Geneva PharmaceuticalsNovartispharmaceuticalsprice-fixing or anti-competitive practices2005MULTI-AG$15,350,000
Hoffman-LaRocheRochepharmaceuticalsprice-fixing or anti-competitive practices2000MULTI-AG$142,494,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.