Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Current Parent Headquarters Summary Page

HQ Country: Switzerland
Current Parent Penalty Total since 2000: $41,038,911,396
Number of Records: 2,090
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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
UBS SecuritiesUBSfinancial servicesdata submission deficiencies2010CFTC$200,000
UBS SecuritiesUBSfinancial servicesinvestor protection violation2009FINRA$268,000
UBS PaineWebber, Inc.UBSfinancial servicesinvestor protection violation2003SEC$500,000
UBS O'Connor, LLCUBSfinancial servicesinvestor protection violation2013SEC$5,297,716
UBS International Inc.UBSfinancial servicesinvestor protection violation2005FINRA$10,000
UBS Inc.UBSfinancial serviceslabor relations violation2010NLRB$26,351
UBS Group AGUBSfinancial servicesprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
UBS Group AGUBSfinancial servicesbanking violation2023FED$268,500,000
UBS Global Asset ManagementUBSfinancial servicesinvestor protection violation2012SEC$300,000
UBS Global Asset ManagementUBSfinancial servicesbenefit plan administrator violation2006private lawsuit-federal$5,493,000
UBS Fund Advisor, LLCUBSfinancial servicesdata submission deficiencies2009CFTC$50,000
UBS Financial Services, Inc. and UBS Securities LLCUBSfinancial servicestoxic securities abuses2008MA-AG$35,000,000
UBS Financial Services, Inc.UBSfinancial serviceswage and hour violation2007WHD$27,152
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2017SEC$3,500,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2013DE-AG$70,077
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007NY-AG$23,300,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2013AK-DBS$64,661
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 violation2007VA-SEC$100,000
UBS FINANCIAL SERVICES, INC.UBSfinancial servicesinvestor protection violation2010VA-SEC$625,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2011FINRA$10,750,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2009FINRA$100,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008FINRA$1,000,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007FINRA$370,000
UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2013MULTI-AG$4,580,000
UBS Financial Services Incorporated of Puerto RicoUBSfinancial servicesinvestor protection violation2015FINRA$18,500,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2015SEC$15,000,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2012SEC$26,600,000
UBS Financial Services Inc. and UBS Securities LLCUBSfinancial servicesanti-money-laundering deficiencies2018FINRA$5,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004SEC$4,621,768
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2015SEC$480,000
UBS Financial Services Inc.UBSfinancial serviceswage and hour violation2018WHD$6,246
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2018SEC$5,000,000
UBS Financial Services Inc.UBSfinancial servicesanti-money-laundering deficiencies2018FINCEN$5,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2006NJ-AG$24,750,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2007CT-SEC$5,500,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2011NH-BSR$1,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2012NH-BSR$72,500
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019VA-SEC$288,970
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2014VT-FIN$325,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2013MULTI-FIN$4,600,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2020SEC$10,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019FINRA$2,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004FINRA$200,666
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2021SEC$8,112,174
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$25,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$925,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2014SEC$56,400
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2016SEC$15,025,882
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2011IN-SEC$677,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2012FINRA$2,354,584
UBS as successor to Piper JaffrayUBSfinancial serviceswage and hour violation2008private lawsuit-federal$5,500,000
UBS Americas Inc.UBSfinancial servicestoxic securities abuses2013FHFA$885,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$160,000,000
UBS AGUBSfinancial servicesbanking violation2015FED$342,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$203,000,000
UBS AGUBSfinancial servicesinvestor protection violation2015SEC$19,500,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2014CFTC$290,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2012CFTC$700,000,000
UBS AGUBSfinancial serviceseconomic sanction violation2015OFAC$1,700,100
UBS AGUBSfinancial servicesinvestor protection violation2010CFTC$130,000
UBS AGUBSfinancial serviceseconomic sanction violation2004FED$100,000,000
UBS AGUBSfinancial servicestax violations2009DOJ_TAX$780,000,000
UBS AGUBSfinancial servicestax violations2009SEC$200,000,000
UBS AGUBSfinancial servicesinvestor protection violation2018CFTC$15,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2018MULTI-AG$68,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2011MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,800,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2016WV-AG$325,000
UBS AGUBSfinancial servicesenvironmental violation2011CT-ENV$80,000
UBS AGUBSfinancial servicesinvestor protection violation2021CFTC$500,000
UBS AGUBSfinancial servicesinvestor protection violation2022CFTC$75,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2020private lawsuit-federal$17,900,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2018private lawsuit-federal$141,075,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2018private lawsuit-federal$14,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2016private lawsuit-federal$32,000,000
UBS AGUBSfinancial servicestoxic securities abuses2023DOJ_CIVIL$1,435,000,000
UBS (USA) IncUBSfinancial serviceseconomic sanction violation2003OFAC$14,750
UBS (USA) IncUBSfinancial serviceseconomic sanction violation2003OFAC$5,000
UBSUBSfinancial servicestoxic securities abuses2016NCUA$69,800,000
UBSUBSfinancial servicestoxic securities abuses2017NCUA$445,000,000
UBSUBSfinancial serviceswage and hour violation2015private lawsuit-federal$1,312,500
UBSUBSfinancial serviceswage and hour violation2012private lawsuit-federal$1,400,000
UBSUBSfinancial serviceswage and hour violation2007private lawsuit-federal$44,000,000
UBSUBSfinancial serviceswage and hour violation2007private lawsuit-federal$45,000,000
UBSUBSfinancial servicesinvestor protection violation2010MI-AG$117,000,000
UBSUBSfinancial servicesbanking violation2023TX-AG$850,000
TYCO THERMAL CONTROLSPentairindustrial equipmentworkplace safety or health violation2001OSHA$20,700
TYCO ELECTRONICS/MADISON CABLE CORP.TE Connectivityelectrical and electronic equipmentworkplace safety or health violation2005OSHA$5,625
Tyco Electronics WaterburyTE Connectivityelectrical and electronic equipmentenvironmental violation2004EPA$5,000
Tyco Electronics Printed Circuit GroupTE Connectivityelectrical and electronic equipmentenvironmental violation2004CT-AG$4,400,000
TYCO Electronics Power SystemsTE Connectivityelectrical and electronic equipmentlabor relations violation2003NLRB$96,000
TYCO ELECTRONICS LTDTE Connectivityelectrical and electronic equipmentaviation safety violation2011FAA$30,000
TYCO ELECTRONICS CORPORATIONTE Connectivityelectrical and electronic equipmentworkplace safety or health violation2001OSHA$5,360
Tyco Electronics Corp.TE Connectivityelectrical and electronic equipmentenvironmental violation2004CA-DTSC$25,650
Tyco Electronics Corp.TE Connectivityelectrical and electronic equipmentenvironmental violation2004CA-DTSC$28,258
TYCO ELECTRONICS CORP.TE Connectivityelectrical and electronic equipmentworkplace safety or health violation2004OSHA$10,395
TYCO ELECTRONICSTE Connectivityelectrical and electronic equipmentworkplace safety or health violation2001OSHA$5,270
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.