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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 First Boston, LLCUBSfinancial servicesinvestor protection violation2005SEC$200,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSfinancial servicesinvestor protection violation2004SEC$1,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2018SEC$5,000,000
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 SecuritiesUBSfinancial servicesinvestor protection violation2016NY-AG$30,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011NJ-AG$1,057,996
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2018NY-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
UBSUBSfinancial servicesinvestor protection violation2010MI-AG$117,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2006NJ-AG$24,750,000
UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2013MULTI-AG$4,580,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2013DE-AG$70,077
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007NY-AG$23,300,000
UBS Securities LLC and UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2011NJ-AG$3,790,487
UBS Securities LLC and UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008MULTI-AG$11,150,000,000
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
UBS Securities LLCUBSfinancial servicesinvestor protection violation2010AK-DBS$733,465
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2013AK-DBS$64,661
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2007CT-SEC$5,500,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2011IN-SEC$677,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007MO-SEC$697,210
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2009MO-SEC$170,175
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2006MT-FIN$4,503,166
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2011NH-BSR$1,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2012NH-BSR$72,500
UBS Securities LLCUBSfinancial servicesinvestor protection violation2010TX-SEC$6,640,432
UBS FINANCIAL SERVICES, INC.UBSfinancial servicesinvestor protection violation2007VA-SEC$100,000
UBS FINANCIAL SERVICES, INC.UBSfinancial servicesinvestor protection violation2010VA-SEC$625,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019VA-SEC$288,970
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2014VT-FIN$325,000
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 Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2008MULTI-FIN$15,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2013MULTI-FIN$4,600,000
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
UBS Warburg and UBS PaineWebberUBSfinancial 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. $25,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2020SEC$10,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2020SEC$600,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2019FINRA$6,500,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019FINRA$2,000,000
UBS Financial Services Incorporated of Puerto RicoUBSfinancial servicesinvestor protection violation2015FINRA$18,500,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2014FINRA$5,000,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2012FINRA$2,354,584
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
UBS SecuritiesUBSfinancial servicesinvestor protection violation2009FINRA$268,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2009FINRA$275,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2009FINRA$100,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008FINRA$1,000,000
UBS Securities, LLCUBSfinancial servicesinvestor protection violation2008FINRA$200,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007FINRA$370,000
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
Coast National Insurance Co.Zurich Insurancefinancial servicesinsurance violation2009AZ-DIFI$38,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insurancefinancial servicesinsurance violation2015AZ-DIFI$58,000
Foremost Property & Casualty Insurance Co.Zurich Insurancefinancial servicesinsurance violation2015AZ-DIFI$21,000
Federal Insurance Co. et al.Chubb Limitedfinancial servicesinsurance violation2003CA-INS$403,652
Coast National Insurance Co.Zurich Insurancefinancial servicesinsurance violation2005CA-INS$120,000
Zurich American Insurance Co.Zurich Insurancefinancial servicesinsurance violation2006CA-INS$15,000
21st Century Insurance Co. and 21st Century Casualty Co.Zurich Insurancefinancial servicesinsurance violation2007CA-INS$50,000
Coast National Insurance Co.Zurich Insurancefinancial servicesinsurance violation2009CA-INS$150,000
Ace Limited Insurance GroupChubb Limitedfinancial servicesinsurance violation2014CA-INS$100,000
Federal Insurance Co.Chubb Limitedfinancial servicesinsurance violation2005CO-INS$16,000
Mid-Century Insurance Co.Zurich Insurancefinancial servicesinsurance violation2011CO-INS$255,500
Mid-Century Insurance Co.Zurich Insurancefinancial servicesinsurance violation2011CO-INS$66,000
Bristol West Insurance Co.Zurich Insurancefinancial servicesinsurance violation2011CO-INS$161,500
Zurich Insurance GroupZurich Insurancefinancial servicesinsurance violation2010CT-INS$235,000
Mid-Century Insurance Co.Zurich Insurancefinancial servicesinsurance violation2019CT-INS$64,000
21st Century Centennial Insurance Co.Zurich Insurancefinancial servicesinsurance violation2016DE-INS$27,500
Bankers Standard Insurance Co. et al.Chubb Limitedfinancial servicesinsurance violation2019DE-INS$16,000
Foremost Property and Casualty Insurance Co. et al.Zurich Insurancefinancial servicesinsurance violation2019DE-INS$11,000
Zurich American Insurance Co.Zurich Insurancefinancial servicesinsurance violation2002FL-OFR$44,500
American Guarantee and Liability Insurance Co.Zurich Insurancefinancial servicesinsurance violation2002FL-OFR$10,850
Security National Insurance Co.Zurich Insurancefinancial servicesinsurance violation2002FL-OFR$31,500
Ace American Insurance Co.Chubb Limitedfinancial servicesinsurance violation2003FL-OFR$6,000
Bristol West Insurance Co.Zurich Insurancefinancial servicesinsurance violation2004FL-OFR$26,500
Combined Insurance Company of AmericaChubb Limitedfinancial servicesinsurance violation2006FL-OFR$9,750
Ace American Insurance Co.Chubb Limitedfinancial servicesinsurance violation2007FL-OFR$56,000
Zurich American Insurance Co.Zurich Insurancefinancial servicesinsurance violation2008FL-OFR$8,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.