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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 Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
Vitol S.A., Inc.Vitolfinancial servicesenvironmental violation2005EPA$41,600
Vitol Inc.Vitolfinancial servicesenvironmental violation2014EPA$30,394
Vitol, Inc.Vitolfinancial servicesenvironmental violation2015EPA$14,047
Vitol, Inc.Vitolfinancial servicesenvironmental violation2016EPA$17,934
Vitol Inc.Vitolfinancial servicesenvironmental violation2016EPA$9,814
VitolVitolfinancial servicesenvironmental violation2017EPA$35,000
VITOL SA, INCVitolfinancial servicesenvironmental violation2002EPA$95,000
Union Bancaire PriveeUnion Bancaire Priveefinancial servicestax violations2016DOJ_TAX$187,000,000
Union Bancaire Privee, UBP SAUnion Bancaire Priveefinancial servicestax violations2020DOJ_TAX$14,000,000
UBS Securities Japan Co. Ltd.UBSfinancial servicesprice-fixing or anti-competitive practices2012DOJ_ANTITRUST$500,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$160,000,000
UBS AGUBSfinancial servicesbanking violation2015FED$342,000,000
Credit Suisse AGUBSfinancial servicesbanking violation2014FED$100,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$203,000,000
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
Credit SuisseUBSfinancial servicestoxic securities abuses2014FHFA$885,000,000
UBS Americas Inc.UBSfinancial servicestoxic securities abuses2013FHFA$885,000,000
UBSUBSfinancial servicestoxic securities abuses2016NCUA$69,800,000
Credit SuisseUBSfinancial servicestoxic securities abuses2016NCUA$50,300,000
Credit SuisseUBSfinancial servicesinvestor protection violation2016CFTC$665,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2014CFTC$290,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2012CFTC$700,000,000
UBS SecuritiesUBSfinancial servicesdata submission deficiencies2010CFTC$200,000
Credit Suisse AGUBSfinancial servicestax violations2014DOJ_TAX$1,800,000,000
UBS AGUBSfinancial serviceseconomic sanction violation2015OFAC$1,700,100
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2014SEC$56,400
UBS AGUBSfinancial servicesinvestor protection violation2010CFTC$130,000
UBS Fund Advisor, LLCUBSfinancial servicesdata submission deficiencies2009CFTC$50,000
UBS AGUBSfinancial serviceseconomic sanction violation2004FED$100,000,000
Credit Suisse AGUBSfinancial serviceseconomic sanction violation2009DOJ_CRIMINAL$268,000,000
UBS AGUBSfinancial servicestax violations2009DOJ_TAX$780,000,000
UBS (USA) IncUBSfinancial serviceseconomic sanction violation2003OFAC$14,750
UBS (USA) IncUBSfinancial serviceseconomic sanction violation2003OFAC$5,000
UBS AGUBSfinancial servicestax violations2009SEC$200,000,000
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
PaineWebber IncorporatedUBSfinancial servicesinvestor protection violation2000SEC$26,200,000
Warburg Dillon Read LLCUBSfinancial servicesinvestor protection violation2000SEC$6,680,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2016SEC$15,025,882
Credit Suisse AGUBSfinancial servicesaccounting fraud or deficiencies2016SEC$90,000,000
Credit SuisseUBSfinancial servicestoxic securities abuses2017DOJ_CIVIL$5,280,000,000
UBS, Inc.UBSfinancial serviceswage and hour violation2013WHD$90,902
UBS Financial Services, Inc.UBSfinancial serviceswage and hour violation2007WHD$27,152
UBS Inc.UBSfinancial serviceslabor relations violation2010NLRB$26,351
UBSUBSfinancial servicestoxic securities abuses2017NCUA$445,000,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2017SEC$3,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2017SEC$5,754,714
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2015SEC$480,000
UBS AGUBSfinancial servicesinvestor protection violation2018CFTC$15,000,000
UBSUBSfinancial serviceswage and hour violation2015private lawsuit-federal$1,312,500
UBSUBSfinancial serviceswage and hour violation2012private lawsuit-federal$1,400,000
UBS as successor to Piper JaffrayUBSfinancial serviceswage and hour violation2008private lawsuit-federal$5,500,000
UBSUBSfinancial serviceswage and hour violation2007private lawsuit-federal$44,000,000
UBSUBSfinancial serviceswage and hour violation2007private lawsuit-federal$45,000,000
UBS O'Connor, LLCUBSfinancial servicesinvestor protection violation2013SEC$5,297,716
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSfinancial servicesinvestor protection violation2011SEC$2,500,000
Credit Suisse (Hong Kong) LimitedUBSfinancial servicesForeign Corrupt Practices Act2018DOJ_CRIMINAL$47,029,916
UBS Financial Services Inc.UBSfinancial serviceswage and hour violation2018WHD$6,246
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2018SEC$29,700,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2018SEC$5,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2005SEC$700,000
Credit Suisse First Boston, LLCUBSfinancial servicesinvestor protection violation2005SEC$200,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSfinancial servicesinvestor protection violation2004SEC$1,000,000
UBS Global Asset ManagementUBSfinancial servicesbenefit plan administrator violation2006private lawsuit-federal$5,493,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2018SEC$5,000,000
UBS Financial Services Inc.UBSfinancial servicesanti-money-laundering deficiencies2018FINCEN$5,000,000
Credit Suisse First Boston Corp.UBSfinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $200,000,000
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2016NY-AG$30,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011NJ-AG$1,057,996
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
Credit Suisse Securities (USA) LLCUBSfinancial servicestoxic securities abuses2016VA-AG$1,200,000
UBSUBSfinancial servicesinvestor protection violation2010MI-AG$117,000,000
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 Financial Services Inc.UBSfinancial servicesinvestor protection violation2006NJ-AG$24,750,000
UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2013MULTI-AG$4,580,000
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. and UBS Securities LLCUBSfinancial servicestoxic securities abuses2008MA-AG$35,000,000
UBS Securities LLCUBSfinancial servicestoxic securities abuses2018NY-AG$230,000,000
UBS Securities LLCUBSfinancial servicestoxic securities abuses2016VA-AG$850,000
UBS Securities LLC and UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2011NJ-AG$3,790,487
UBS Securities LLC and UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008MULTI-AG$11,150,000,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2016WV-AG$325,000
Credit Suisse AGUBSfinancial serviceseconomic sanction violation2009NY-MANDA$268,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2010AK-DBS$733,465
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.