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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 TypeYearAgencyPenalty Amount sort icon
Pentair Water Pool and Spa Inc.Pentairindustrial equipmentprice-fixing or anti-competitive practices2016private lawsuit-federal$6,000,000
Roche Diagnostics Corp.RochepharmaceuticalsFalse Claims Act and related2021private lawsuit-federal$6,250,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2019FINRA$6,500,000
Novartis PharmaceuticalsNovartispharmaceuticalsoff-label or unapproved promotion of medical products2012TX-AG$6,638,250
UBS Securities LLCUBSfinancial servicesinvestor protection violation2010TX-SEC$6,640,432
Warburg Dillon Read LLCUBSfinancial servicesinvestor protection violation2000SEC$6,680,000
InterMune Inc.Rochepharmaceuticalsoff-label or unapproved promotion of medical products2006MULTI-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
Farmers Group, Inc.Zurich Insurancefinancial servicesbenefit plan administrator violation2012private lawsuit-federal$6,850,000
NovartisNovartispharmaceuticalsFalse Claims Act and related2013LA-AG$7,000,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesprice-fixing or anti-competitive practices2006OH-AG$7,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Transocean Inc.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010SEC$7,265,080
Logitech InternationalLogitech Internationalelectrical and electronic equipmentaccounting fraud or deficiencies2016SEC$7,500,000
Alcon Laboratories, IncAlcon Inc.medical equipment and supplieseconomic sanction violation2016OFAC$7,617,150
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011SEC$8,000,000
Novartis Corporation and Alcon LaboratoriesNovartispharmaceuticalsemployment discrimination2016private lawsuit-federal$8,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
Alcon Pharmaceuticals Ltd. and Alcon Laboratories, Inc.Alcon Inc.medical equipment and suppliesexport control violation2016BIS$8,100,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2021SEC$8,112,174
Combined Insurance Company of AmericaChubb Limitedfinancial servicesemployment discrimination2005private lawsuit-federal$8,500,000
Lafarge North America Inc.Holcim Groupbuilding materialswater pollution violation2011EPA$8,740,000
Credit Suisse AGUBSfinancial servicesprice-fixing or anti-competitive practices2022private lawsuit-federal$8,875,000
ACE LimitedChubb Limitedfinancial servicesprice-fixing or anti-competitive practices2007PA-AG$9,000,000
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2022FINRA$9,000,000
Glencore Ltd.Glencorefinancial servicesprice-fixing or anti-competitive practices2022private lawsuit-federal$9,850,000
Kuhne + Nagel International AGKuehne & Nagelfreight and logisticsprice-fixing or anti-competitive practices2010DOJ_ANTITRUST$9,865,044
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
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2020SEC$10,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2023SEC$10,000,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2011FINRA$10,750,000
Farmers Insurance CompanyZurich Insurancefinancial servicesconsumer protection violation2011private lawsuit-federal$10,975,000
Credit Suisse AGUBSfinancial servicesprice-fixing or anti-competitive practices2022private lawsuit-federal$10,989,000
Mid-Century Insurance Co. of TexasZurich Insurancefinancial servicesinsurance violation2000TX-INS$11,000,000
Hoffmann-La Roche Inc.Rochepharmaceuticalsprice-fixing or anti-competitive practices2008private lawsuit-federal$11,000,000
Novartis Pharmaceuticals CorporationNovartispharmaceuticalskickbacks and bribery2020CA-AG$11,800,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011FINRA$12,000,000
Sandoz, Inc.Sandoz GrouppharmaceuticalsHHS civil monetary penalties2015HHSOIG$12,640,000
SandozSandoz GrouppharmaceuticalsFalse Claims Act and related2013LA-AG$13,100,000
Transocean Inc.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010DOJ_CRIMINAL$13,440,000
Credit Suisse AGUBSfinancial servicesprice-fixing or anti-competitive practices2023private lawsuit-federal$13,750,000
Union Bancaire Privee, UBP SAUnion Bancaire Priveefinancial servicestax violations2020DOJ_TAX$14,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2018private lawsuit-federal$14,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2015SEC$14,400,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2015SEC$15,000,000
UBS AGUBSfinancial servicesinvestor protection violation2018CFTC$15,000,000
Farmers Insurance GroupZurich Insurancefinancial servicesinsurance violation2002TX-INS$15,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2008MULTI-FIN$15,000,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2016SEC$15,025,882
Geneva PharmaceuticalsNovartispharmaceuticalsprice-fixing or anti-competitive practices2005MULTI-AG$15,350,000
SandozSandoz GrouppharmaceuticalsFalse Claims Act and related2009KY-AG$16,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesanti-money-laundering deficiencies2016FINRA$16,500,000
Zurich Capital Markets Inc.Zurich Insurancefinancial servicesinvestor protection violation2007SEC$16,800,000
ChubbChubb Limitedfinancial servicesprice-fixing or anti-competitive practices2006MULTI-AG$17,000,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSfinancial servicesinvestor protection violation2015SEC$17,500,000
VITOL, S.A.Vitolfinancial serviceskickbacks and bribery2007NY-MANDA$17,500,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2020private lawsuit-federal$17,900,000
Coast National InsuranceZurich Insurancefinancial serviceswage and hour violation2002private lawsuit-state$18,000,000
UBS Financial Services Incorporated of Puerto RicoUBSfinancial servicesinvestor protection violation2015FINRA$18,500,000
ABB Ltd.ABB Ltd.utilities and power generationForeign Corrupt Practices Act2010DOJ_CRIMINAL$19,000,000
Genentech Inc.Rochepharmaceuticalsoff-label or unapproved promotion of medical products2000MULTI-AG$19,000,000
UBS AGUBSfinancial servicesinvestor protection violation2015SEC$19,500,000
TransoceanTransoceanoilfield services and suppliesoil spill2015AL-AG$20,000,000
Alcon Vision LLCAlcon Inc.medical equipment and suppliesprice-fixing or anti-competitive practices2022private lawsuit-federal$20,000,000
HolcimHolcim Groupbuilding materialsair pollution violation2013EPA$20,700,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
UBS Securities LLCUBSfinancial servicesprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Novartis PharmaceuticalsNovartispharmaceuticalsFalse Claims Act and related2019IL-AG$21,280,356
LaFarge North America Inc.Holcim Groupbuilding materialsprice-fixing or anti-competitive practices2016private lawsuit-federal$23,000,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007NY-AG$23,300,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2006NJ-AG$24,750,000
Novartis AGNovartispharmaceuticalsForeign Corrupt Practices Act2016SEC$25,000,000
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008SEC$25,000,000
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
Farmers InsuranceZurich Insurancefinancial servicesinsurance violation2021OK-AG$25,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$25,000,000
PaineWebber IncorporatedUBSfinancial servicesinvestor protection violation2000SEC$26,200,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2012SEC$26,600,000
Chemoil CorporationGlencorefinancial servicesenvironmental violation2016EPA$27,000,000
CHEMOIL CORPORATIONGlencorefinancial servicesair pollution violation2016EPA(*)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
Lonza AGLonzachemicalsprice-fixing or anti-competitive practices2004private lawsuit-federal$27,240,000
Kuehne + Nagel International AGKuehne & Nagelfreight and logisticsprice-fixing or anti-competitive practices2013private lawsuit-federal$28,000,000
Novartis Vaccines & Diagnostics Inc. and Novartis Pharmaceuticals CorporationNovartispharmaceuticalsoff-label or unapproved promotion of medical products2010MULTI-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
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2018SEC$29,700,000
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2016NY-AG$30,000,000
Novartis Pharmaceuticals CorporationNovartispharmaceuticalsprice-fixing or anti-competitive practices2023private lawsuit-federal$30,000,000
Sandoz, Inc.Sandoz GrouppharmaceuticalsFalse Claims Act and related2011MS-AG$30,110,618
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2016private lawsuit-federal$32,000,000
Genentech Inc.RochepharmaceuticalsFalse Claims Act and related2016DOJ_CIVIL$33,500,000
UBS Financial Services, Inc. and UBS Securities LLCUBSfinancial servicestoxic securities abuses2008MA-AG$35,000,000
Novartis Pharmaceuticals CorporationNovartispharmaceuticalsFalse Claims Act and related2016private lawsuit-federal$35,000,000
InterMune Inc.Rochepharmaceuticalsoff-label or unapproved promotion of medical products2006FDA$36,900,000
Zurich American Insurance Company et al.Zurich Insurancefinancial servicesFalse Claims Act and related2010NY-AG$37,500,000
ABB Ltd.ABB Ltd.utilities and power generationForeign Corrupt Practices Act2010SEC$39,300,000
UBSUBSfinancial serviceswage and hour violation2007private lawsuit-federal$44,000,000
UBSUBSfinancial serviceswage and hour violation2007private lawsuit-federal$45,000,000
Credit Suisse (Hong Kong) LimitedUBSfinancial servicesForeign Corrupt Practices Act2018DOJ_CRIMINAL$47,029,916
Hoffman-LaRocheRochepharmaceuticalsprice-fixing or anti-competitive practices2000CA-AG$47,498,000
UBS SecuritiesUBSfinancial servicestoxic securities abuses2013SEC$50,000,000
Aggregate Industries Northeast Region Inc.Holcim Groupbuilding materialsfraud2007USAO$50,000,000
Aggregate Industries Northeast Region, Inc.Holcim Groupbuilding materialsFalse Claims Act and related2007MA-AG(*)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
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.