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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 TypeYearAgency sort iconPenalty Amount
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2021TX-INS$19,500
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2022TX-INS$19,500
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2022TX-INS$6,000
Chubb Seguros Mexico, S.A.Chubb Limitedfinancial servicesinsurance violation2022TX-INS$100,000
Pacific Indemnity CompanyChubb Limitedfinancial servicesinsurance violation2021TX-INS$45,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2022TX-INS$7,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2022TX-INS$5,000
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2022TX-INS$14,000
Ace American Insurance Co.Chubb Limitedfinancial servicesinsurance violation2022TX-INS$6,500
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2022TX-INS$10,600
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2022TX-INS$20,500
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2022TX-INS$72,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2022TX-INS$17,500
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2022TX-INS$7,500
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2022TX-INS$22,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2022TX-INS$9,500
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2022TX-INS$20,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2022TX-INS$5,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2022TX-INS$58,500
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2022TX-INS$5,500
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2022TX-INS$9,500
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2022TX-INS$24,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2022TX-INS$21,800
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2023TX-INS$69,750
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2023TX-INS$34,500
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2023TX-INS$60,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2023TX-INS$97,200
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2022TX-INS$24,750
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2022TX-INS$12,000
Security National Insurance CompanyZurich Insurancefinancial servicesinsurance violation2022TX-INS$5,000
Ace Fire Underwriters Insurance CompanyChubb Limitedfinancial servicesinsurance violation2022TX-INS$6,250
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2022TX-INS$12,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2023TX-INS$10,500
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2023TX-INS$21,500
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2023TX-INS$12,500
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2023TX-INS$38,500
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2023TX-INS$69,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2023TX-INS$80,300
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2023TX-INS$8,000
Security National Insurance CompanyZurich Insurancefinancial servicesinsurance violation2023TX-INS$14,000
Chubb Indemnity Insurance CompanyChubb Limitedfinancial servicesinsurance violation2023TX-INS$8,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2023TX-INS$12,750
Security National Insurance CompanyZurich Insurancefinancial servicesinsurance violation2023TX-INS$6,500
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2023TX-INS$9,500
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2023TX-INS$42,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2023TX-INS$12,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2023TX-INS$90,950
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2023TX-INS$17,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2023TX-INS$5,500
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2023TX-INS$19,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2023TX-INS$13,500
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2023TX-INS$27,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2023TX-INS$22,250
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2023TX-INS$18,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2023TX-INS$17,500
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2024TX-INS$17,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2024TX-INS$17,000
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2023TX-INS$12,000
American Zurich Insurance CompanyZurich Insurancefinancial servicesinsurance violation2023TX-INS$7,500
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2024TX-INS$6,200
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2023TX-INS$6,000
Holcim (Texas) Limited PartnershipHolcim Groupbuilding materialsenvironmental violation2019TX-ENV$5,871
HOLCIM TEXAS LIMITED PARTNERSHIPHolcim Groupbuilding materialsenvironmental violation2002TX-ENV$223,125
ARCH CHEMICALS INCArxadachemicalsenvironmental violation2001TX-ENV$66,600
LONZA INCLonzachemicalsenvironmental violation2000TX-ENV$12,500
Corpus Christi Alumina LLCGlencorefinancial servicesenvironmental violation2021TX-ENV$32,400
Holcim (Us) Inc.Holcim Groupbuilding materialsenvironmental violation2020TX-ENV$5,941
HOLCIM (US) INC.Holcim Groupbuilding materialsenvironmental violation2022TX-ENV$14,400
Holcim (Us) Inc.Holcim Groupbuilding materialsenvironmental violation2023TX-ENV$74,614
Farmers Insurance GroupZurich Insurancefinancial servicesconsumer protection violation2003TX-AG$2,400,000
Novartis PharmaceuticalsNovartispharmaceuticalsoff-label or unapproved promotion of medical products2012TX-AG$6,638,250
Universal Underwriters Life Insurance Co.Zurich Insurancefinancial servicesconsumer protection violation2008TX-AG$2,400,000
UBSUBSfinancial servicesbanking violation2023TX-AG$850,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2016SEC$54,300,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSfinancial servicesinvestor protection violation2015SEC$17,500,000
UBS AGUBSfinancial servicesinvestor protection violation2015SEC$19,500,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2015SEC$15,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesdata submission deficiencies2015SEC$4,250,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2015SEC$14,400,000
Credit Suisse Group AGUBSfinancial servicesinvestor protection violation2014SEC$196,000,000
UBS SecuritiesUBSfinancial servicestoxic securities abuses2013SEC$50,000,000
Credit Suisse Securities (USA)UBSfinancial servicestoxic securities abuses2012SEC$120,000,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2012SEC$26,600,000
UBS Global Asset ManagementUBSfinancial servicesinvestor protection violation2012SEC$300,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011SEC$8,000,000
Novartis AGNovartispharmaceuticalsForeign Corrupt Practices Act2016SEC$25,000,000
Transocean Inc.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010SEC$7,265,080
GlobalSantaFe Corp.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010SEC$5,858,165
ABB Ltd.ABB Ltd.utilities and power generationForeign Corrupt Practices Act2010SEC$39,300,000
Logitech InternationalLogitech Internationalelectrical and electronic equipmentaccounting fraud or deficiencies2016SEC$7,500,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2014SEC$56,400
UBS AGUBSfinancial servicestax violations2009SEC$200,000,000
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008SEC$25,000,000
Swiss Re Financial Products CorporationSwiss Refinancial servicesinvestor protection violation2007SEC$95,000
Zurich Capital Markets Inc.Zurich Insurancefinancial servicesinvestor protection violation2007SEC$16,800,000
ABB LtdABB Ltd.utilities and power generationForeign Corrupt Practices Act2004SEC$5,900,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004SEC$4,621,768
UBS PaineWebber, Inc.UBSfinancial servicesinvestor protection violation2003SEC$500,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003SEC$200,000,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2003SEC$80,000,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2002SEC$100,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.