UBS Group AG | UBS | financial services | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
UBS Securities LLC | UBS | financial services | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Credit Suisse Group AG | UBS | financial services | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $550,000 |
Novartis AG | Novartis | pharmaceuticals | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $126,850,000 |
Novartis Pharmaceuticals Corporation | Novartis | pharmaceuticals | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $30,000,000 |
Credit Suisse AG | UBS | financial services | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $13,750,000 |
Arch Chemicals, Inc. | Arxada | chemicals | pesticide violation | 2014 | CA-DPR | $318,740 |
Arch Wood Protection, Inc. | Arxada | chemicals | pesticide violation | 2014 | CA-DPR | $78,951 |
Lonza Inc. | Lonza | chemicals | pesticide violation | 2013 | CA-DPR | $16,402 |
Nestle Purina PetCare Company | Nestle | food products | pesticide violation | 2012 | CA-DPR | $55,000 |
Arch Chemicals, Inc. | Arxada | chemicals | pesticide violation | 2010 | CA-DPR | $19,360 |
Lonza Inc. | Lonza | chemicals | pesticide violation | 2006 | CA-DPR | $39,000 |
Arch Chemicals, Inc. | Arxada | chemicals | pesticide violation | 2006 | CA-DPR | $114,900 |
LAFARGE NORTH AMERICA, INC | Holcim Group | building materials | PCB violation | 2011 | EPA | $8,260 |
Lafarge S.A. | Holcim Group | building materials | payment to designated terrorist organization | 2022 | USAO | $777,780,000 |
Transocean | Transocean | oilfield services and supplies | oil spill | 2013 | EPA | $1,000,000,000 |
Transocean Deepwater Inc. | Transocean | oilfield services and supplies | oil spill | 2013 | EPA | $400,000,000 |
BOSFuel Corp. and Swissport Fueling, Inc. | Swissport International | business services | oil spill | 2012 | EPA | $90,000 |
Transocean | Transocean | oilfield services and supplies | oil spill | 2015 | AL-AG | $20,000,000 |
Transocean Ltd. | Transocean | oilfield services and supplies | oil spill | 2017 | private lawsuit-federal | $211,750,000 |
Novartis Pharmaceuticals Corporation | Novartis | pharmaceuticals | off-label or unapproved promotion of medical products | 2010 | FDA | $422,500,000 |
Novartis Vaccines & Diagnostics Inc. and Novartis Pharmaceuticals Corporation | Novartis | pharmaceuticals | off-label or unapproved promotion of medical products | 2010 | FDA | $72,500,000 |
InterMune Inc. | Roche | pharmaceuticals | off-label or unapproved promotion of medical products | 2006 | FDA | $36,900,000 |
Genentech Inc. | Roche | pharmaceuticals | off-label or unapproved promotion of medical products | 2000 | MULTI-AG | $19,000,000 |
InterMune Inc. | Roche | pharmaceuticals | off-label or unapproved promotion of medical products | 2006 | 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. $6,700,000 |
Novartis Pharmaceuticals Corporation | Novartis | pharmaceuticals | off-label or unapproved promotion of medical products | 2010 | 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. $88,258,694 |
Novartis Vaccines & Diagnostics Inc. and Novartis Pharmaceuticals Corporation | Novartis | pharmaceuticals | off-label or unapproved promotion of medical products | 2010 | 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. $29,000,000 |
Novartis Pharmaceuticals | Novartis | pharmaceuticals | off-label or unapproved promotion of medical products | 2012 | TX-AG | $6,638,250 |
SIKA CORPORATION | Sika AG | chemicals | motor vehicle safety violation | 2009 | FMCSA | $5,500 |
SIKA CORPORATION | Sika AG | chemicals | motor vehicle safety violation | 2007 | FMCSA | $11,280 |
CAMBREX BIO SCIENCE WALKERSVILLE, INC | Lonza | chemicals | motor vehicle safety violation | 2006 | FMCSA | $6,050 |
ABB INC | ABB Ltd. | utilities and power generation | motor vehicle safety violation | 2005 | FMCSA | $6,680 |
Bank Julius Baer & Co. Ltd. | Julius Baer Group | financial services | money laundering | 2021 | DOJ_CRIMINAL | $79,000,000 |
Aggregate Industries - WCR, Inc. | Holcim Group | building materials | mining environmental violation | 2018 | CO-DRMS | $10,000 |
Aggregate Industries - WCR, Inc. | Holcim Group | building materials | mining environmental violation | 2015 | CO-DRMS | $35,000 |
Intermune, Inc. | Roche | pharmaceuticals | Medicare Coverage Gap Discount Program violation | 2013 | CMS | $5,641 |
Intermune, Inc. | Roche | pharmaceuticals | Medicare Coverage Gap Discount Program violation | 2013 | CMS | $16,215 |
Aggregate Industries US | Holcim Group | building materials | labor relations violation | 2017 | NLRB | $17,214 |
UBS Inc. | UBS | financial services | labor relations violation | 2010 | NLRB | $26,351 |
Givaudan Fragrances Corporation | Givaudan | miscellaneous manufacturing | labor relations violation | 2009 | NLRB | $5,457 |
Sika Corporation | Sika AG | chemicals | labor relations violation | 2008 | NLRB | $5,200 |
Givaudan Fragrances Corp. | Givaudan | miscellaneous manufacturing | labor relations violation | 2008 | NLRB | $14,365 |
Lattimore Materials Co. | Holcim Group | building materials | labor relations violation | 2007 | NLRB | $342,916 |
Kuehne & Nagel | Kuehne & Nagel | freight and logistics | labor relations violation | 2007 | NLRB | $14,616 |
Nestle Purina PetCare | Nestle | food products | labor relations violation | 2006 | NLRB | $43,519 |
ABB Inc. | ABB Ltd. | utilities and power generation | labor relations violation | 2006 | NLRB | $20,000 |
Lafarge North America - Gypsum Division | Holcim Group | building materials | labor relations violation | 2005 | NLRB | $6,034 |
Ghirardelli Chocolate | Lindt & Sprungli | food products | labor relations violation | 2004 | NLRB | $12,998 |
ABB, Inc. | ABB Ltd. | utilities and power generation | labor relations violation | 2004 | NLRB | $6,626 |
Aggregate Industries (Middlesex Materials NE) | Holcim Group | building materials | labor relations violation | 2004 | NLRB | $223,976 |
TYCO Electronics Power Systems | TE Connectivity | electrical and electronic equipment | labor relations violation | 2003 | NLRB | $96,000 |
Thomas & Betts Corporation | ABB Ltd. | utilities and power generation | labor relations violation | 2003 | NLRB | $17,140 |
LaFarge Gypsum | Holcim Group | building materials | labor relations violation | 2003 | NLRB | $6,750 |
Barry Callebaut, Inc. | Barry Callebaut | food products | labor relations violation | 2003 | NLRB | $37,757 |
Nestle USA Inc | Nestle | food products | labor relations violation | 2003 | NLRB | $9,800 |
Novartis Nutrition | Nestle | food products | labor relations violation | 2002 | NLRB | $70,569 |
Novartis Nutrition | Nestle | food products | labor relations violation | 2002 | NLRB | $66,839 |
Nestle Nutrition Division | Nestle | food products | labor relations violation | 2002 | NLRB | $25,000 |
Barry Callebaut U.S.A., Inc. | Barry Callebaut | food products | labor relations violation | 2001 | NLRB | $30,000 |
Lattimore Materials Co. L.P. | Holcim Group | building materials | labor relations violation | 2001 | NLRB | $45,000 |
Lattimore Materials Company, L.P. | Holcim Group | building materials | labor relations violation | 2001 | NLRB | $27,000 |
Otis Spunkmeyer, Inc. | Aryzta | food products | labor relations violation | 2000 | NLRB | $6,500 |
Novartis Pharmaceuticals | Novartis | pharmaceuticals | kickbacks and bribery | 2015 | USAO | $390,000,000 |
Novartis Pharmaceuticals Corporation | Novartis | pharmaceuticals | kickbacks and bribery | 2015 | 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. $83,129,754 |
VITOL, S.A. | Vitol | financial services | kickbacks and bribery | 2007 | NY-MANDA | $17,500,000 |
Novartis Pharmaceuticals Corporation | Novartis | pharmaceuticals | kickbacks and bribery | 2020 | CA-AG | $11,800,000 |
Novartis Pharmaceuticals Corp. | Novartis | pharmaceuticals | kickbacks and bribery | 2020 | MULTI-AG | $103,000,000 |
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 |