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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 TypeYear sort iconAgencyPenalty Amount
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2011IN-SEC$677,000
Zurich American Insurance Co. et al.Zurich Insurancefinancial servicesinsurance violation2011MD-INS$30,000
Federal Insurance Co. et al.Chubb Limitedfinancial servicesinsurance violation2011MD-INS$25,000
Zurich American Insurance Co.Zurich Insurancefinancial servicesinsurance violation2011MD-INS$125,000
Federal Insurance Co. et al.Chubb Limitedfinancial servicesinsurance violation2011MD-INS$15,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2011NH-BSR$1,000,000
Bristol West Insurance CompanyZurich Insurancefinancial servicesinsurance violation2011SC-INS$7,500
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2011TX-INS$48,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2011TX-INS$68,000
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2011TX-INS$9,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2011TX-INS$15,500
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2011TX-INS$10,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2011TX-INS$40,000
Chubb Indemnity Insurance Co.Chubb Limitedfinancial servicesinsurance violation2011TX-INS$24,000
Federal Insurance Co.Chubb Limitedfinancial servicesinsurance violation2011TX-INS$17,500
EMPIRE FIRE & MARINE INSURANCE COZurich Insurancefinancial servicesinsurance violation2011VA-INS$25,000
American Guarantee and Liability Insurance CompanyZurich Insurancefinancial servicesinsurance violation2011VA-INS$5,000
BRISTOL WEST INSURANCE CO.Zurich Insurancefinancial servicesinsurance violation2011VA-INS$75,400
Chubb Group Of CompaniesChubb Limitedfinancial servicesinsurance violation2011WA-INS$534,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2011WA-INS$50,000
Jennings Technology Company, LLCABB Ltd.utilities and power generationhazardous waste violation2011CA-DTSC$347,000
UBS AGUBSfinancial servicesenvironmental violation2011CT-ENV$80,000
OTIS SPUNKMEYER, INCAryztafood productsair pollution violation2011SC-ENV$8,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011FINRA$1,750,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011FINRA$12,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011FINRA$4,500,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2011FINRA$10,750,000
Sandoz Inc.Sandoz Grouppharmaceuticalsprice-fixing or anti-competitive practices2011private lawsuit-federal$150,000,000
Farmers Insurance CompanyZurich Insurancefinancial servicesconsumer protection violation2011private lawsuit-federal$10,975,000
SCHINDLER ELEVATOR CORPORATIONSchindlermiscellaneous manufacturingworkplace safety or health violation2011OSHA$25,000
ABB KUHLMAN ELECTRIC CORPORATIONABB Ltd.utilities and power generationworkplace safety or health violation2011OSHA$10,000
LAFARGE BUILDING MATERIAL INC.Holcim Groupbuilding materialsworkplace safety or health violation2011OSHA$6,977
NESTLE PREPARED FOODS COMPANYNestlefood productsworkplace safety or health violation2011OSHA$7,310
BARRY CALLEBAUT USA, LLCBarry Callebautfood productsworkplace safety or health violation2011OSHA$7,183
NESTLE USA, INC.Nestlefood productsworkplace safety or health violation2011OSHA$7,500
SULZER FRICTION SYSTEMS (US) INC.Sulzerconstruction and engineeringworkplace safety or health violation2011OSHA$18,900
ARCH CHEMICALS INCArxadachemicalsworkplace safety or health violation2011OSHA$8,900
SGS NORTH AMERICA CONSUMER TESTING SERVICESSGS S.A.miscellaneous servicesworkplace safety or health violation2011OSHA$5,000
BARRY CALLEBAUT USA LLCBarry Callebautfood productsworkplace safety or health violation2011OSHA$5,500
LINDT CHOCOLATESLindt & Sprunglifood productsenvironmental violation2011EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $19,300
Roche Molecular Systems, Inc.Rochepharmaceuticalshazardous waste violation2011EPA$90,000
LAFARGE NORTH AMERICA, INCHolcim Groupbuilding materialsPCB violation2011EPA$8,260
ABB, INCABB Ltd.utilities and power generationenvironmental violation2011EPA$74,140
TE CONNECTIVITY, INCTE Connectivityelectrical and electronic equipmenthazardous waste violation2011EPA$65,000
ARCH CHEMICALS, INC. dba ADVANTIS TECHNOLOGIESArxadachemicalsenvironmental violation2011EPA$41,850
A. FINKL & SONS COMPANYSwiss Steelmetalshazardous waste violation2011EPA$104,159
Transocean Offshore Deepwwater Drilling, Inc.Transoceanoilfield services and suppliesair pollution violation2011EPA$40,000
Holcim, Inc.Holcim Groupbuilding materialswater pollution violation2011EPA$50,000
Logitech. Inc.Logitech Internationalelectrical and electronic equipmentenvironmental violation2011EPA$261,000
Lafarge Building Materials IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$5,503
Nestle Purina PetCare CompanyNestlefood productsworkplace safety or health violation2011MSHA$8,893
Lafarge MidwestHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$6,458
Lafarge MidwestHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$5,961
Lafarge MidwestHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$5,961
Lafarge Midwest IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$5,961
Lafarge Mid-Atlantic, LLCHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$21,770
Lafarge Mid-Atlantic, LLCHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$52,500
Lafarge Mid-Atlantic, LLCHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$27,990
Lafarge Mid-Atlantic, LLCHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$47,250
Lafarge Mid-Atlantic, LLCHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$23,940
Lafarge Mid-Atlantic, LLCHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$23,940
Lafarge North AmericaHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$9,000
Lafarge North AmericaHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$11,000
Lafarge North AmericaHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$9,000
Lafarge North AmericaHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$9,000
Holcim (US) IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$5,080
Lafarge Building Materials IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$14,373
Lafarge Building Materials IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$5,961
Lafarge North America, Inc.Holcim Groupbuilding materialsworkplace safety or health violation2011MSHA$20,000
Lafarge North America, Inc.Holcim Groupbuilding materialsworkplace safety or health violation2011MSHA$5,000
Holcim (US) Inc.Holcim Groupbuilding materialsworkplace safety or health violation2011MSHA$5,080
Lafarge North AmericaHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$7,578
Holcim (US) Inc.Holcim Groupbuilding materialsworkplace safety or health violation2011MSHA$7,578
Lafarge Building Materials IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$16,867
Lafarge Building Materials IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$5,503
Lafarge Building Materials IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$11,306
Lafarge Building Materials IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$6,458
Lafarge Building Materials IncorporatedHolcim Groupbuilding materialsworkplace safety or health violation2011MSHA$8,209
Nestle Purina PetCare CompanyNestlefood productsworkplace safety or health violation2011MSHA$5,000
Lafarge North America Inc.Holcim Groupbuilding materialsenvironmental violation2010EPA$175,000,000
Novartis Pharmaceuticals CorporationNovartispharmaceuticalsoff-label or unapproved promotion of medical products2010FDA$422,500,000
Kuhne + Nagel International AGKuehne & Nagelfreight and logisticsprice-fixing or anti-competitive practices2010DOJ_ANTITRUST$9,865,044
NBTY, Inc.Nestlefood productsconsumer protection violation2010FTC$2,100,000
Transocean Inc.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010DOJ_CRIMINAL$13,440,000
ABB Ltd.ABB Ltd.utilities and power generationForeign Corrupt Practices Act2010DOJ_CRIMINAL$19,000,000
Transocean Inc.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010SEC$7,265,080
GlobalSantaFe Corp.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010SEC$5,858,165
ABB Ltd.ABB Ltd.utilities and power generationForeign Corrupt Practices Act2010SEC$39,300,000
UBS SecuritiesUBSfinancial servicesdata submission deficiencies2010CFTC$200,000
Novartis Vaccines & Diagnostics Inc. and Novartis Pharmaceuticals CorporationNovartispharmaceuticalsoff-label or unapproved promotion of medical products2010FDA$72,500,000
Eon Labs Inc.NovartispharmaceuticalsFalse Claims Act and related2010DOJ_CIVIL$3,500,000
Vitol Inc. and Vitol Capital Management Ltd.Vitolfinancial servicesinvestor protection violation2010CFTC$6,000,000
Noble Americas Corp.Vitolfinancial servicesinvestor protection violation2010CFTC$130,000
UBS AGUBSfinancial servicesinvestor protection violation2010CFTC$130,000
Adecco USAAdeccobusiness servicesemployment discrimination2010EEOC$91,500
Adecco USA Inc.Adeccobusiness servicesemployment discrimination2010EEOC$62,500
Farmer's Group, Inc.Zurich Insurancefinancial serviceswage and hour violation2010WHD$565,065
Farmer's Group, Inc.Zurich Insurancefinancial serviceswage and hour violation2010WHD$754,148
Farmer's Group, Inc.Zurich Insurancefinancial serviceswage and hour violation2010WHD$20,122
Farmer's Group, Inc.Zurich Insurancefinancial serviceswage and hour violation2010WHD$209,170
UBS Inc.UBSfinancial serviceslabor relations violation2010NLRB$26,351
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.