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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 Industry sort iconPrimary Offense TypeYearAgencyPenalty Amount
BARRY CALLEBAUT USA, LLCBarry Callebautfood productsworkplace safety or health violation2016OSHA$5,070
NESTLE PREPARED FOODS COMPANYNestlefood productsworkplace safety or health violation2016OSHA$5,000
RUSSELL STOVER CHOCOLATES, LLC.Lindt & Sprunglifood productsworkplace safety or health violation2016OSHA$6,971
ARYZTA LLCAryztafood productsworkplace safety or health violation2017OSHA$8,000
RUSSELL STOVER CHOCOLATES, LLCLindt & Sprunglifood productsworkplace safety or health violation2017OSHA$8,000
GHIRARDELLI CHOCOLATE COMPANYLindt & Sprunglifood productsworkplace safety or health violation2017OSHA$18,850
BARRY CALLEBAUT USA, L.L.C.Barry Callebautfood productsworkplace safety or health violation2017OSHA$6,112
GHIRARDELLI CHOCOLATE COMPANYLindt & Sprunglifood productsworkplace safety or health violation2017OSHA$5,250
NESTLE PURINA PETCARENestlefood productsworkplace safety or health violation2017OSHA$7,000
NESTLE PIZZA DIVISIONNestlefood productsworkplace safety or health violation2017OSHA$10,140
GHIRARDELLI CHOCOLATE COMPANYLindt & Sprunglifood productsworkplace safety or health violation2017OSHA$23,775
NESTLE PREPARED FOODS COMPANYNestlefood productsworkplace safety or health violation2017OSHA$5,000
NESTLE USA, INC.Nestlefood productsworkplace safety or health violation2017OSHA$9,412
LINDT & SPRUNGLI (USA) INC.Lindt & Sprunglifood productsworkplace safety or health violation2018OSHA$10,000
NESTLE USANestlefood productsworkplace safety or health violation2018OSHA$43,970
ARYZTA, LLCAryztafood productsworkplace safety or health violation2018OSHA$20,975
ARYZTA LLCAryztafood productsworkplace safety or health violation2018OSHA$25,869
BARRY CALLEBAUT USA LLCBarry Callebautfood productsworkplace safety or health violation2018OSHA$64,996
RUSSELL STOVER CHOCOLATES LLCLindt & Sprunglifood productsworkplace safety or health violation2018OSHA$7,814
NESTLE PREPARED FOODS COMPANYNestlefood productsworkplace safety or health violation2018OSHA$17,575
NESTLE USA, INC.Nestlefood productsworkplace safety or health violation2019OSHA$32,000
ARYZTA LLCAryztafood productsworkplace safety or health violation2019OSHA$7,711
BARRY CALLEBAUT USA, LLC.Barry Callebautfood productsworkplace safety or health violation2019OSHA$8,502
NESTLE PURINA PETCARENestlefood productsworkplace safety or health violation2020OSHA$5,682
BARRY CALLEBAUT USA LLCBarry Callebautfood productsworkplace safety or health violation2021OSHA$11,400
NESTLE PURINA PETCARENestlefood productsworkplace safety or health violation2021OSHA$41,000
BARRY CALLEBAUT USA, L.L.C.Barry Callebautfood productsworkplace safety or health violation2021OSHA$84,570
RUSSELL STOVER CANDIESLindt & Sprunglifood productsworkplace safety or health violation2021OSHA$14,502
NESTLE USA, INCNestlefood productsworkplace safety or health violation2022OSHA$11,600
GERBER PRODUCTS COMPANYNestlefood productsworkplace safety or health violation2022OSHA$14,000
GERBER PRODUCTS COMPANYNestlefood productsworkplace safety or health violation2022OSHA$13,500
NESTLE USA, INC.Nestlefood productsworkplace safety or health violation2022OSHA$11,000
LINDT & SPRUNGLI (USA) INC.Lindt & Sprunglifood productsworkplace safety or health violation2022OSHA$7,800
BEECH-NUT NUTRITION COMPANYHero Groupfood productsworkplace safety or health violation2023OSHA$8,929
GHIRARDELLI CHOCOLATE COMPANYLindt & Sprunglifood productsworkplace safety or health violation2023OSHA$7,145
GHIRARDELLI CHOCOLATE COMPANYLindt & Sprunglifood productsworkplace safety or health violation2023OSHA$6,750
LINDT CHOCOLATESLindt & Sprunglifood productsenvironmental violation2011EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $19,300
NBTY, INC.Nestlefood productswater pollution violation2000EPA$22,500
NBTY, INC. - BAYPORTNestlefood productswater pollution violation2000EPA$25,000
NBTY, IncNestlefood productsair pollution violation2002EPA$280,000
NESTLE PURINA PETCARE COMPANYNestlefood productsenvironmental violation2005EPA$18,282
NESTLE, INC.Nestlefood productsenvironmental violation2006EPA$23,075
RUSSELL STOVER CANDIES, INC.Lindt & Sprunglifood productsair pollution violation2007EPA$62,824
NESTLE PREPARED FOODS COMPANYNestlefood productsenvironmental violation2008EPA$24,884
NESTLE PREPARED FOODS COMAPNYNestlefood productsair pollution violation2014EPA$19,397
NOVARTIS NUTRITION CORPORATIONNestlefood productsenvironmental violation2000EPA$13,090
Nestle Purina Petcare CompanyNestlefood productsenvironmental violation2012EPA$395,000
Nestle Professional Vitality (Chicago, IL)Nestlefood productsair pollution violation2012EPA$65,000
NESTLE USA, INC.Nestlefood productsair pollution violation2014EPA$69,399
ARYTZAAryztafood productsair pollution violation2018EPA$7,000
Nestle Prepared Foods Co. Inc.Nestlefood productsenvironmental violation2018EPA$27,720
Gerber Products CompanyNestlefood productsenvironmental violation2020EPA$24,450
RUSSELL STOVERS CANDIES, INC.Lindt & Sprunglifood productswater pollution violation2001EPA$40,000
RUSSELL STOVER CANDIESLindt & Sprunglifood productswater pollution violation2012EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $585,000
Nestle Purina PetCare CompanyNestlefood productsworkplace safety or health violation2011MSHA$8,893
Nestle Purina PetCare CompanyNestlefood productsworkplace safety or health violation2011MSHA$5,000
Noble Americas Corp.Vitolfinancial servicesrailroad safety violation2012FRA$15,000
Xstrata CopperGlencorefinancial servicesrailroad safety violation2011FRA$7,500
Xstrata CopperGlencorefinancial servicesrailroad safety violation2012FRA$12,000
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
Bank Julius Baer & Co. Ltd.Julius Baer Groupfinancial servicestax violations2016DOJ_TAX$547,000,000
Union Bancaire PriveeUnion Bancaire Priveefinancial servicestax violations2016DOJ_TAX$187,000,000
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
Vitol Inc. and Vitol Capital Management Ltd.Vitolfinancial servicesinvestor protection violation2010CFTC$6,000,000
Noble Americas Corp.Vitolfinancial servicesinvestor protection violation2010CFTC$130,000
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
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008SEC$25,000,000
Swiss Re Financial Products CorporationSwiss Refinancial servicesinvestor protection violation2007SEC$95,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.