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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 TypeYearAgency sort iconPenalty Amount
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
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 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 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 Financial Services Inc.UBSfinancial servicesinvestor protection violation2018SEC$5,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2020SEC$10,000,000
Novartis AGNovartispharmaceuticalsForeign Corrupt Practices Act2020SEC$112,800,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2020SEC$600,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2021SEC$8,112,174
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2021SEC$99,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$25,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$925,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2022SEC$125,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$125,000,000
ABB LtdABB Ltd.utilities and power generationForeign Corrupt Practices Act2022SEC$75,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2023SEC$10,000,000
Foremost Insurance Group et al.Zurich Insurancefinancial servicesinsurance violation2015SD-INS$750,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2015SD-INS$100,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2016SD-INS$15,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2016SD-INS$5,000
Federal Insurance Co.Chubb Limitedfinancial servicesinsurance violation2020SD-INS$25,000
Bristol West Insurance CompanyZurich Insurancefinancial servicesinsurance violation2011SC-INS$7,500
OTIS SPUNKMEYER, INCAryztafood productsair pollution violation2011SC-ENV$8,000
LAFARGE BUILDING MATERIALS INCHolcim Groupbuilding materialsair pollution violation2010SC-ENV$6,000
LAFARGE BUILDING MATERIALS INCHolcim Groupbuilding materialsair pollution violation2009SC-ENV$106,000
LAFARGE BUILDING MATERIALS INCHolcim Groupbuilding materialsair pollution violation2008SC-ENV$90,000
HOLCIM US INCHolcim Groupbuilding materialsair pollution violation2008SC-ENV$6,000
CLARIANT CORPORATIONClariantchemicalswater pollution violation2007SC-ENV$11,050
LAFARGE BUILDING MATERIALS, INC.Holcim Groupbuilding materialsair pollution violation2006SC-ENV$24,000
CAPSUGELLonzachemicalsair pollution violation2004SC-ENV$10,000
NESTLE PREPARED FOODS COMPANYNestlefood productswater pollution violation2003SC-ENV$5,600
CLARIANT CORPORATIONClariantchemicalsair pollution violation2002SC-ENV$5,000
Aryzta LLCAryztafood productsair pollution violation2020SC-ENV$14,000
Metropolitan Property and Casualty CompanyZurich Insurancefinancial servicesinsurance violation2019RI-FIN$5,000
Clariant Corp.Clariantchemicalsenvironmental violation2013RI-ENV$105,000
Bristol West Insurance CompanyZurich Insurancefinancial servicesinsurance violation2004PA-INS$10,000
Combined Insurance Company of AmericaChubb Limitedfinancial servicesinsurance violation2005PA-INS$50,000
Foremost Insurance Company of Grand Rapids, MichiganZurich Insurancefinancial servicesinsurance violation2005PA-INS$5,000
Empire Fire & Marine Insurance CompanyZurich Insurancefinancial servicesinsurance violation2006PA-INS$20,000
LONZA INCLonzachemicalsenvironmental violation2010PA-ENV$9,240
LONZA INCLonzachemicalsenvironmental violation2002PA-ENV$9,000
HOLCIM (US) INCHolcim Groupbuilding materialsenvironmental violation2018PA-ENV$5,000
HOLCIM (US) INCHolcim Groupbuilding materialsenvironmental violation2017PA-ENV$5,000
HOLCIM (US) INCHolcim Groupbuilding materialsenvironmental violation2017PA-ENV$5,000
HOLCIM (US) INCHolcim Groupbuilding materialsenvironmental violation2017PA-ENV$7,250
LONZA INCLonzachemicalsenvironmental violation2005PA-ENV$31,145
LONZA INCLonzachemicalsenvironmental violation2003PA-ENV$8,500
HOLCIM (US) INCHolcim Groupbuilding materialsenvironmental violation2017PA-ENV$44,000
HOLCIM (US) INCHolcim Groupbuilding materialsenvironmental violation2015PA-ENV$5,991
HOLCIM (US) INCHolcim Groupbuilding materialsenvironmental violation2008PA-ENV$612,000
HOLCIM (US) INCHolcim Groupbuilding materialsenvironmental violation2008PA-ENV$70,000
HOLCIM (US) INCHolcim Groupbuilding materialsenvironmental violation2006PA-ENV$41,500
HOLCIM (US) INCHolcim Groupbuilding materialsenvironmental violation2004PA-ENV$175,500
HOLCIM (US) INCHolcim Groupbuilding materialsenvironmental violation2004PA-ENV$55,263
HOLCIM (US) INCHolcim Groupbuilding materialsenvironmental violation2000PA-ENV$14,198
BARRY CALLEBAUT USA LLCBarry Callebautfood productsenvironmental violation2014PA-ENV$13,974
ACE LimitedChubb Limitedfinancial servicesprice-fixing or anti-competitive practices2007PA-AG$9,000,000
LAFARGE NORTH AMERICA DBA LAFARGE WESTHolcim Groupbuilding materialsworkplace safety or health violation2002OSHA$7,000
SCHINDLER ELEVATOR CORPORATIONSchindlermiscellaneous manufacturingworkplace safety or health violation2001OSHA$6,300
ABB PAINT AUTOMATION GROUPABB Ltd.utilities and power generationworkplace safety or health violation2000OSHA$8,375
OTIS SPUNKMEYER, INCAryztafood productsworkplace safety or health violation2003OSHA$6,210
CHIRON CORPORATIONNovartispharmaceuticalsworkplace safety or health violation2000OSHA$90,140
ADECCO EMPLOYMENT SERVICESAdeccobusiness servicesworkplace safety or health violation2005OSHA$5,000
NBTY MANUFACTURING LLCNestlefood productsworkplace safety or health violation2002OSHA$23,735
MALARKEY ROOFING PRODUCTSHolcim Groupbuilding materialsworkplace safety or health violation2006OSHA$7,500
SWISSPORT USA INCSwissport Internationalbusiness servicesworkplace safety or health violation2008OSHA$7,500
ABB INCABB Ltd.utilities and power generationworkplace safety or health violation2000OSHA$9,000
ABB POWER T & D COMPANY, INC.ABB Ltd.utilities and power generationworkplace safety or health violation2001OSHA$9,000
GERBER PRODUCTS COMPANYNestlefood productsworkplace safety or health violation2000OSHA$5,000
NESTLE USANestlefood productsworkplace safety or health violation2003OSHA$18,675
NESTLE USANestlefood productsworkplace safety or health violation2005OSHA$18,475
NESTLE USANestlefood productsworkplace safety or health violation2005OSHA$18,635
TYCO THERMAL CONTROLSPentairindustrial equipmentworkplace safety or health violation2001OSHA$20,700
TYCO ELECTRONICSTE Connectivityelectrical and electronic equipmentworkplace safety or health violation2001OSHA$5,270
GENENTECHRochepharmaceuticalsworkplace safety or health violation2003OSHA$11,240
SWISSPORTSwissport Internationalbusiness servicesworkplace safety or health violation2004OSHA$5,000
ADECCOAdeccobusiness servicesworkplace safety or health violation2003OSHA$50,375
ROCHE MOLECULAR SYSTEMS INCRochepharmaceuticalsworkplace safety or health violation2002OSHA$9,225
NBTY MANUFACTURING LLCNestlefood productsworkplace safety or health violation2002OSHA$20,385
TYCO ELECTRONICSTE Connectivityelectrical and electronic equipmentworkplace safety or health violation2003OSHA$19,270
KUHLMAN ELECTRIC CORPORATIONABB Ltd.utilities and power generationworkplace safety or health violation2000OSHA$6,375
LIEBHERR AMERICA, INC.Liebherrheavy equipmentworkplace safety or health violation2000OSHA$9,800
AMPCO METAL INC.AMPCO Metalmetalsworkplace safety or health violation2000OSHA$14,700
ABB POWER T & D COMPANY, INC.ABB Ltd.utilities and power generationworkplace safety or health violation2001OSHA$25,000
HOLCIM (US) INC.Holcim Groupbuilding materialsworkplace safety or health violation2001OSHA$5,400
TYCO ELECTRONICS CORPORATIONTE Connectivityelectrical and electronic equipmentworkplace safety or health violation2001OSHA$5,360
LONZA BIOLOGICS, INC.Lonzachemicalsworkplace safety or health violation2002OSHA$9,750
ARCH CHEMICALS INCArxadachemicalsworkplace safety or health violation2002OSHA$8,500
AGGREGATE INDUSTRIES-MID ATLANTICHolcim Groupbuilding materialsworkplace safety or health violation2002OSHA$7,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.