InterMune Inc. | Roche | pharmaceuticals | off-label or unapproved promotion of medical products | 2006 | FDA | $36,900,000 |
UBS Financial Services, Inc. and UBS Securities LLC | UBS | financial services | toxic securities abuses | 2008 | MA-AG | $35,000,000 |
Novartis Pharmaceuticals Corporation | Novartis | pharmaceuticals | False Claims Act and related | 2016 | private lawsuit-federal | $35,000,000 |
Genentech Inc. | Roche | pharmaceuticals | False Claims Act and related | 2016 | DOJ_CIVIL | $33,500,000 |
UBS AG | UBS | financial services | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $32,000,000 |
Sandoz, Inc. | Sandoz Group | pharmaceuticals | False Claims Act and related | 2011 | MS-AG | $30,110,618 |
Credit Suisse Securities | UBS | financial services | investor protection violation | 2016 | NY-AG | $30,000,000 |
Novartis Pharmaceuticals Corporation | Novartis | pharmaceuticals | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $30,000,000 |
Credit Suisse Group AG | UBS | financial services | Foreign Corrupt Practices Act | 2018 | SEC | $29,700,000 |
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 |
Kuehne + Nagel International AG | Kuehne & Nagel | freight and logistics | price-fixing or anti-competitive practices | 2013 | private lawsuit-federal | $28,000,000 |
Lonza AG | Lonza | chemicals | price-fixing or anti-competitive practices | 2004 | private lawsuit-federal | $27,240,000 |
Chemoil Corporation | Glencore | financial services | environmental violation | 2016 | EPA | $27,000,000 |
CHEMOIL CORPORATION | Glencore | financial services | air pollution violation | 2016 | EPA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $27,000,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | financial services | investor protection violation | 2012 | SEC | $26,600,000 |
PaineWebber Incorporated | UBS | financial services | investor protection violation | 2000 | SEC | $26,200,000 |
Novartis AG | Novartis | pharmaceuticals | Foreign Corrupt Practices Act | 2016 | SEC | $25,000,000 |
Zurich Financial Services | Zurich Insurance | financial services | accounting fraud or deficiencies | 2008 | SEC | $25,000,000 |
UBS Warburg and UBS PaineWebber | UBS | financial services | investor protection violation | 2003 | MULTI-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 |
Farmers Insurance | Zurich Insurance | financial services | insurance violation | 2021 | OK-AG | $25,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2022 | SEC | $25,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2006 | NJ-AG | $24,750,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2007 | NY-AG | $23,300,000 |
LaFarge North America Inc. | Holcim Group | building materials | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $23,000,000 |
Novartis Pharmaceuticals | Novartis | pharmaceuticals | False Claims Act and related | 2019 | IL-AG | $21,280,356 |
Credit Suisse Securities (USA) LLC | UBS | financial services | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
UBS Securities LLC | UBS | financial services | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Holcim | Holcim Group | building materials | air pollution violation | 2013 | EPA | $20,700,000 |
Transocean | Transocean | oilfield services and supplies | oil spill | 2015 | AL-AG | $20,000,000 |
Alcon Vision LLC | Alcon Inc. | medical equipment and supplies | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $20,000,000 |
UBS AG | UBS | financial services | investor protection violation | 2015 | SEC | $19,500,000 |
ABB Ltd. | ABB Ltd. | utilities and power generation | Foreign Corrupt Practices Act | 2010 | DOJ_CRIMINAL | $19,000,000 |
Genentech Inc. | Roche | pharmaceuticals | off-label or unapproved promotion of medical products | 2000 | MULTI-AG | $19,000,000 |
UBS Financial Services Incorporated of Puerto Rico | UBS | financial services | investor protection violation | 2015 | FINRA | $18,500,000 |
Coast National Insurance | Zurich Insurance | financial services | wage and hour violation | 2002 | private lawsuit-state | $18,000,000 |
UBS AG | UBS | financial services | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $17,900,000 |
UBS Willow Management LLC and UBS Fund Advisor LLC | UBS | financial services | investor protection violation | 2015 | SEC | $17,500,000 |
VITOL, S.A. | Vitol | financial services | kickbacks and bribery | 2007 | NY-MANDA | $17,500,000 |
Chubb | Chubb Limited | financial services | price-fixing or anti-competitive practices | 2006 | MULTI-AG | $17,000,000 |
Zurich Capital Markets Inc. | Zurich Insurance | financial services | investor protection violation | 2007 | SEC | $16,800,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | anti-money-laundering deficiencies | 2016 | FINRA | $16,500,000 |
Sandoz | Sandoz Group | pharmaceuticals | False Claims Act and related | 2009 | KY-AG | $16,000,000 |
Geneva Pharmaceuticals | Novartis | pharmaceuticals | price-fixing or anti-competitive practices | 2005 | MULTI-AG | $15,350,000 |
UBS Financial Services | UBS | financial services | investor protection violation | 2016 | SEC | $15,025,882 |
UBS Financial Services Inc. of Puerto Rico | UBS | financial services | investor protection violation | 2015 | SEC | $15,000,000 |
UBS AG | UBS | financial services | investor protection violation | 2018 | CFTC | $15,000,000 |
Farmers Insurance Group | Zurich Insurance | financial services | insurance violation | 2002 | TX-INS | $15,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2008 | MULTI-FIN | $15,000,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2015 | SEC | $14,400,000 |
Union Bancaire Privee, UBP SA | Union Bancaire Privee | financial services | tax violations | 2020 | DOJ_TAX | $14,000,000 |
UBS AG | UBS | financial services | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $14,000,000 |
Credit Suisse AG | UBS | financial services | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $13,750,000 |
Transocean Inc. | Transocean | oilfield services and supplies | Foreign Corrupt Practices Act | 2010 | DOJ_CRIMINAL | $13,440,000 |
Sandoz | Sandoz Group | pharmaceuticals | False Claims Act and related | 2013 | LA-AG | $13,100,000 |
Sandoz, Inc. | Sandoz Group | pharmaceuticals | HHS civil monetary penalties | 2015 | HHSOIG | $12,640,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2011 | FINRA | $12,000,000 |
Novartis Pharmaceuticals Corporation | Novartis | pharmaceuticals | kickbacks and bribery | 2020 | CA-AG | $11,800,000 |
Mid-Century Insurance Co. of Texas | Zurich Insurance | financial services | insurance violation | 2000 | TX-INS | $11,000,000 |
Hoffmann-La Roche Inc. | Roche | pharmaceuticals | price-fixing or anti-competitive practices | 2008 | private lawsuit-federal | $11,000,000 |
Credit Suisse AG | UBS | financial services | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $10,989,000 |
Farmers Insurance Company | Zurich Insurance | financial services | consumer protection violation | 2011 | private lawsuit-federal | $10,975,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2011 | FINRA | $10,750,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2018 | NY-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 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2020 | SEC | $10,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2023 | SEC | $10,000,000 |
Kuhne + Nagel International AG | Kuehne & Nagel | freight and logistics | price-fixing or anti-competitive practices | 2010 | DOJ_ANTITRUST | $9,865,044 |
Glencore Ltd. | Glencore | financial services | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $9,850,000 |
ACE Limited | Chubb Limited | financial services | price-fixing or anti-competitive practices | 2007 | PA-AG | $9,000,000 |
Credit Suisse Securities | UBS | financial services | investor protection violation | 2022 | FINRA | $9,000,000 |
Credit Suisse AG | UBS | financial services | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $8,875,000 |
Lafarge North America Inc. | Holcim Group | building materials | water pollution violation | 2011 | EPA | $8,740,000 |
Combined Insurance Company of America | Chubb Limited | financial services | employment discrimination | 2005 | private lawsuit-federal | $8,500,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2021 | SEC | $8,112,174 |
Alcon Pharmaceuticals Ltd. and Alcon Laboratories, Inc. | Alcon Inc. | medical equipment and supplies | export control violation | 2016 | BIS | $8,100,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2011 | SEC | $8,000,000 |
Novartis Corporation and Alcon Laboratories | Novartis | pharmaceuticals | employment discrimination | 2016 | private lawsuit-federal | $8,000,000 |
UBS AG | UBS | financial services | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $8,000,000 |
Alcon Laboratories, Inc | Alcon Inc. | medical equipment and supplies | economic sanction violation | 2016 | OFAC | $7,617,150 |
Logitech International | Logitech International | electrical and electronic equipment | accounting fraud or deficiencies | 2016 | SEC | $7,500,000 |
Transocean Inc. | Transocean | oilfield services and supplies | Foreign Corrupt Practices Act | 2010 | SEC | $7,265,080 |
Novartis | Novartis | pharmaceuticals | False Claims Act and related | 2013 | LA-AG | $7,000,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | price-fixing or anti-competitive practices | 2006 | OH-AG | $7,000,000 |
UBS AG | UBS | financial services | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
Farmers Group, Inc. | Zurich Insurance | financial services | benefit plan administrator violation | 2012 | private lawsuit-federal | $6,850,000 |
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 |
Warburg Dillon Read LLC | UBS | financial services | investor protection violation | 2000 | SEC | $6,680,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2010 | TX-SEC | $6,640,432 |
Novartis Pharmaceuticals | Novartis | pharmaceuticals | off-label or unapproved promotion of medical products | 2012 | TX-AG | $6,638,250 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2019 | FINRA | $6,500,000 |
Roche Diagnostics Corp. | Roche | pharmaceuticals | False Claims Act and related | 2021 | private lawsuit-federal | $6,250,000 |
Vitol Inc. and Vitol Capital Management Ltd. | Vitol | financial services | investor protection violation | 2010 | CFTC | $6,000,000 |
Combined Insurance Company of America | Chubb Limited | financial services | wage and hour violation | 2010 | private lawsuit-federal | $6,000,000 |
Pentair Water Pool and Spa Inc. | Pentair | industrial equipment | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $6,000,000 |
ABB Ltd | ABB Ltd. | utilities and power generation | Foreign Corrupt Practices Act | 2004 | SEC | $5,900,000 |
GlobalSantaFe Corp. | Transocean | oilfield services and supplies | Foreign Corrupt Practices Act | 2010 | SEC | $5,858,165 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2017 | SEC | $5,754,714 |
UBS as successor to Piper Jaffray | UBS | financial services | wage and hour violation | 2008 | private lawsuit-federal | $5,500,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2007 | CT-SEC | $5,500,000 |
UBS Global Asset Management | UBS | financial services | benefit plan administrator violation | 2006 | private lawsuit-federal | $5,493,000 |
Regus Management | International Workplace Group | business services | wage and hour violation | 2018 | private lawsuit-state | $5,300,000 |
UBS O'Connor, LLC | UBS | financial services | investor protection violation | 2013 | SEC | $5,297,716 |