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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.

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount sort icon
UBS O'Connor, LLCUBSfinancial servicesinvestor protection violation2013SEC$5,297,716
Ghiradelli Chocolate Co.Lindt & Sprunglifood productsconsumer protection violation2015private lawsuit-federal$5,250,000
LaFarge North America Inc.Holcim Groupbuilding materialsprice-fixing or anti-competitive practices2017private lawsuit-federal$5,200,000
Zurich Life Insurance Company LtdZurich Insurancefinancial servicestax violations2019DOJ_TAX$5,115,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2018SEC$5,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2018SEC$5,000,000
UBS Financial Services Inc.UBSfinancial servicesanti-money-laundering deficiencies2018FINCEN$5,000,000
CIBA VisionNovartispharmaceuticalsprice-fixing or anti-competitive practices2000MULTI-AG$5,000,000
UBS Financial Services Inc. and UBS Securities LLCUBSfinancial servicesanti-money-laundering deficiencies2018FINRA$5,000,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2014FINRA$5,000,000
TE Connectivity Networks, Inc.TE Connectivityelectrical and electronic equipmentwage and hour violation2019private lawsuit-federal$4,960,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004SEC$4,621,768
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2013MULTI-FIN$4,600,000
UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2013MULTI-AG$4,580,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2013NY-DFS$4,560,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2006MT-FIN$4,503,166
ACE Group Holdings, Inc.Chubb Limitedfinancial servicesprice-fixing or anti-competitive practices2007MULTI-AG$4,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011FINRA$4,500,000
Tyco Electronics Printed Circuit GroupTE Connectivityelectrical and electronic equipmentenvironmental violation2004CT-AG$4,400,000
Farmers Insurance GroupZurich Insurancefinancial servicesdiscriminatory practices (non-employment)2001OH-AG$4,300,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesdata submission deficiencies2015SEC$4,250,000
UBS Securities LLC and UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2011NJ-AG$3,790,487
Eon Labs Inc.NovartispharmaceuticalsFalse Claims Act and related2010DOJ_CIVIL$3,500,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2017SEC$3,500,000
Metropolitan Property & Casualty Insurance Co.Zurich Insurancefinancial servicesconsumer protection violation2010MA-AG$3,500,000
Novartis Pharmaceuticals CorporationNovartispharmaceuticalsFalse Claims Act and related2010HI-AG$3,333,333
ADC Telecommunications Inc.TE Connectivityelectrical and electronic equipmentbenefit plan administrator violation2006private lawsuit-federal$3,250,000
Sandoz Inc.Sandoz Grouppharmaceuticalsprice-fixing or anti-competitive practices2017private lawsuit-federal$3,202,500
Metropolitan Property & Casualty Co.Zurich Insurancefinancial servicesconsumer protection violation2019MS-AG$3,167,173
Russell StoverLindt & Sprunglifood productswage and hour violation2014private lawsuit-federal$3,075,000
Gerber ProductsNestlefood productswage and hour violation2016private lawsuit-state$3,001,669
Accutest Corp. aka Accutest LaboratoriesSGS S.A.miscellaneous servicesfraud2015USAO$3,000,000
Adecco USAAdeccobusiness serviceswage and hour violation2006private lawsuit-state$3,000,000
Nestle USANestlefood productswage and hour violation2008WHD$2,750,840
Aggregate Industries-Northeast Region Inc.Holcim Groupbuilding materialsenvironmental violation2009EPA$2,750,000
Novartis Pharmaceuticals Corp.NovartispharmaceuticalsFalse Claims Act and related2012KY-AG$2,750,000
Aggregate Industries IncHolcim Groupbuilding materialsenvironmental violation2009EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,750,000
Vitol Inc.Vitolfinancial servicesenergy market violation2019FERC$2,742,881
GenentechRochepharmaceuticalswage and hour violation2011private lawsuit-state$2,600,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSfinancial servicesinvestor protection violation2011SEC$2,500,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2022FINRA$2,500,000
Farmers Insurance GroupZurich Insurancefinancial servicesconsumer protection violation2003TX-AG$2,400,000
Universal Underwriters Life Insurance Co.Zurich Insurancefinancial servicesconsumer protection violation2008TX-AG$2,400,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2012FINRA$2,354,584
LAFARGE MID-ATLANTIC, LLCHolcim Groupbuilding materialsenvironmental violation2012EPA$2,307,112
Lonza AGLonzachemicalsprice-fixing or anti-competitive practices2009MULTI-AG$2,275,454
Vitol Inc.Vitolfinancial servicesenergy market violation2024FERC$2,225,000
Genentech Inc.RochepharmaceuticalsFalse Claims Act and related2016MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,200,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2022NY-DFS$2,200,000
Malarkey Roofing CompanyHolcim Groupbuilding materialsenvironmental violation2021OR-ENV$2,105,405
NBTY, Inc.Nestlefood productsconsumer protection violation2010FTC$2,100,000
GenentechRochepharmaceuticalswage and hour violation2012private lawsuit-state$2,100,000
NBTY, Inc.Nestlefood productsconsumer protection violation2005FTC$2,000,000
Baldor Electric Co.ABB Ltd.utilities and power generationemployment discrimination2012OFCCP$2,000,000
Accutest LaboratoriesSGS S.A.miscellaneous servicesAmericans with Disabilities Act2015NJ-AG$2,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019FINRA$2,000,000
ACE GroupChubb Limitedfinancial servicesprice-fixing or anti-competitive practices2011OH-AG$1,970,000
Metropolitan Property and Casualty Insurance Co.Zurich Insurancefinancial servicesconsumer protection violation2000MA-AG$1,840,000
Nestle USA, Inc.Nestlefood productswage and hour violation2008WHD$1,752,293
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011FINRA$1,750,000
Sandoz Inc.Sandoz Grouppharmaceuticalsprice-fixing or anti-competitive practices2017private lawsuit-federal$1,750,000
UBS AGUBSfinancial serviceseconomic sanction violation2015OFAC$1,700,100
Lafarge North America, Inc.Holcim Groupbuilding materialsenvironmental violation2010MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,690,000
Sandoz Inc.Sandoz GrouppharmaceuticalsFalse Claims Act and related2010ID-AG$1,650,000
Farmer's InsuranceZurich Insurancefinancial serviceswage and hour violation2011WHD$1,520,705
Lafarge North America Inc.Holcim Groupbuilding materialsenvironmental violation2013EPA$1,500,000
Lafarge North AmericaHolcim Groupbuilding materialsenvironmental violation2013NY-AG$1,500,000
Credit SuisseUBSfinancial servicesinvestor protection violation2021CFTC$1,500,000
LAFARGE NORTH AMERICA, INC.Holcim Groupbuilding materialsenvironmental violation2014EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,460,942
UBSUBSfinancial serviceswage and hour violation2012private lawsuit-federal$1,400,000
UBSUBSfinancial serviceswage and hour violation2015private lawsuit-federal$1,312,500
Chubb Ltd.Chubb Limitedfinancial servicesinsurance violation2018NY-DFS$1,300,000
Adecco USA, Inc.Adeccobusiness serviceswage and hour violation2018private lawsuit-state$1,268,283
CS First Boston Corp.UBSfinancial servicesinvestor protection violation2000FINRA$1,240,000
Credit Suisse Securities (USA) LLCUBSfinancial servicestoxic securities abuses2016VA-AG$1,200,000
LaFargeHolcim Groupbuilding materialsenvironmental violation2012EPA$1,084,166
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011NJ-AG$1,057,996
LAFARGE NORTH AMERICA, INCHolcim Groupbuilding materialsenvironmental violation2010EPA$1,026,192
ADC Telecommunications Inc.TE Connectivityelectrical and electronic equipmentFalse Claims Act and related2012DOJ_CIVIL$1,000,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSfinancial servicesinvestor protection violation2004SEC$1,000,000
AlconAlcon Inc.medical equipment and suppliesFalse Claims Act and related2013LA-AG$1,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2011NH-BSR$1,000,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008FINRA$1,000,000
Aggregate Industries - Northeast Region, Inc.Holcim Groupbuilding materialsenvironmental violation2021MA-AG$990,000
NBTY, Inc.Nestlefood productsControlled Substances Act violation2004USAO$950,000
Universal Underwriters Insurance CompanyZurich Insurancefinancial servicesinsurance violation2006IN-INS$948,240
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$925,000
Gerber Products Co.Nestlefood productsemployment discrimination2009OFCCP$900,000
LAFARGE NORTH AMERICA, INC. (NATIONAL CASE) (ARGOS CEMENT LLC)Holcim Groupbuilding materialsenvironmental violation2010EPA$891,192
UBS Securities LLCUBSfinancial servicestoxic securities abuses2016VA-AG$850,000
Holcim Inc.Holcim Groupbuilding materialsenvironmental violation2021NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $850,000
Holcim (US) Inc.Holcim Groupbuilding materialsenvironmental violation2021USAO$850,000
UBSUBSfinancial servicesbanking violation2023TX-AG$850,000
Adecco USAAdeccobusiness serviceswage and hour violation2006private lawsuit-state$848,964
Nestle Purina Petcare Company, Inc.Nestlefood productsenvironmental violation2021private lawsuit-federal$800,000
Adecco USAAdeccobusiness serviceswage and hour violation2011private lawsuit-federal$780,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2004FINRA$770,000
Farmer's Group, Inc.Zurich Insurancefinancial serviceswage and hour violation2010WHD$754,148
Novartis Pharmaceuticals Corp.NovartispharmaceuticalsFalse Claims Act and related2013ID-AG$750,000
Ghirardelli and Russell StoverLindt & Sprunglifood productsconsumer protection violation2019CA-MULTI$750,000
Foremost Insurance Group et al.Zurich Insurancefinancial servicesinsurance violation2015SD-INS$750,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.