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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
Swiss Re Financial Products CorporationSwiss Refinancial servicesinvestor protection violation2007SEC$95,000
Zurich Capital Markets Inc.Zurich Insurancefinancial servicesinvestor protection violation2007SEC$16,800,000
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
Chemoil CorporationGlencorefinancial servicesenvironmental violation2016EPA$27,000,000
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
Vitol, Inc.Vitolfinancial servicesemployment discrimination2012EEOC$62,500
Chemoil CorporationGlencorefinancial serviceswage and hour violation2013WHD$16,594
UBS, Inc.UBSfinancial serviceswage and hour violation2013WHD$90,902
Farmer's Group, Inc.Zurich Insurancefinancial serviceswage and hour violation2010WHD$565,065
Farmer's Group, Inc.Zurich Insurancefinancial serviceswage and hour violation2010WHD$754,148
Farmer's Group, Inc.Zurich Insurancefinancial serviceswage and hour violation2010WHD$20,122
Farmer's Group, Inc.Zurich Insurancefinancial serviceswage and hour violation2010WHD$209,170
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
Farmer's InsuranceZurich Insurancefinancial serviceswage and hour violation2011WHD$1,520,705
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
Combined Insurance Company of AmericaChubb Limitedfinancial serviceswage and hour violation2010private lawsuit-federal$6,000,000
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
Coast National InsuranceZurich Insurancefinancial serviceswage and hour violation2002private lawsuit-state$18,000,000
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
Combined Insurance Company of AmericaChubb Limitedfinancial servicesemployment discrimination2005private lawsuit-federal$8,500,000
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
Farmers Group, Inc.Zurich Insurancefinancial servicesbenefit plan administrator violation2012private lawsuit-federal$6,850,000
UBS Global Asset ManagementUBSfinancial servicesbenefit plan administrator violation2006private lawsuit-federal$5,493,000
Noble Americas CorporationVitolfinancial servicesrailroad safety violation2017FRA$6,500
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2018SEC$5,000,000
UBS Financial Services Inc.UBSfinancial servicesanti-money-laundering deficiencies2018FINCEN$5,000,000
Zurich Life Insurance Company LtdZurich Insurancefinancial servicestax violations2019DOJ_TAX$5,115,000
ACE American Insurance Company ET AL.Chubb Limitedfinancial servicesFalse Claims Act and related2010NY-AG$70,000,000
ACE GroupChubb Limitedfinancial servicesprice-fixing or anti-competitive practices2011OH-AG$1,970,000
ACE LimitedChubb Limitedfinancial servicesprice-fixing or anti-competitive practices2007PA-AG$9,000,000
ACE Group Holdings, Inc.Chubb Limitedfinancial servicesprice-fixing or anti-competitive practices2007MULTI-AG$4,500,000
ACE, LtdChubb Limitedfinancial servicesprice-fixing or anti-competitive practices2006MULTI-AG$80,000,000
ChubbChubb Limitedfinancial servicesprice-fixing or anti-competitive practices2006MULTI-AG$17,000,000
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
Farmers Insurance GroupZurich Insurancefinancial servicesdiscriminatory practices (non-employment)2001OH-AG$4,300,000
Farmers Insurance GroupZurich Insurancefinancial servicesconsumer protection violation2003TX-AG$2,400,000
Metropolitan Property & CasualtyZurich Insurancefinancial servicesconsumer protection violation2010MA-AG$20,000
Metropolitan Property & Casualty Co.Zurich Insurancefinancial servicesconsumer protection violation2019MS-AG$3,167,173
Metropolitan Property & Casualty Insurance Co.Zurich Insurancefinancial servicesconsumer protection violation2010MA-AG$3,500,000
Metropolitan Property and Casualty Insurance Co.Zurich Insurancefinancial servicesconsumer protection violation2013MA-AG$50,000
Metropolitan Property and Casualty Insurance Co.Zurich Insurancefinancial servicesconsumer protection violation2012MA-AG$395,000
Metropolitan Property and Casualty Insurance Co.Zurich Insurancefinancial servicesconsumer protection violation2000MA-AG$1,840,000
The Chubb Corp.Chubb Limitedfinancial servicesconsumer protection violation2009MA-AG$239,011
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
Universal Underwriters Life Insurance Co.Zurich Insurancefinancial servicesconsumer protection violation2008TX-AG$2,400,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesprice-fixing or anti-competitive practices2006MULTI-AG$171,700,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesprice-fixing or anti-competitive practices2006OH-AG$7,000,000
Zurich American Insurance Company et al.Zurich Insurancefinancial servicesFalse Claims Act and related2010NY-AG$37,500,000
Vitol Inc.Vitolfinancial servicesenergy market violation2019FERC$2,742,881
Credit Suisse AGUBSfinancial serviceseconomic sanction violation2009NY-MANDA$268,000,000
VITOL, S.A.Vitolfinancial serviceskickbacks and bribery2007NY-MANDA$17,500,000
Union Bancaire Privee, UBP SAUnion Bancaire Priveefinancial servicestax violations2020DOJ_TAX$14,000,000
ACE LimitedChubb Limitedfinancial serviceseconomic sanction violation2019OFAC$66,212
UBS Securities LLCUBSfinancial servicesinvestor protection violation2010AK-DBS$733,465
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2013AK-DBS$64,661
Coast National Insurance Co.Zurich Insurancefinancial servicesinsurance violation2009AZ-DIFI$38,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insurancefinancial servicesinsurance violation2015AZ-DIFI$58,000
Foremost Property & Casualty Insurance Co.Zurich Insurancefinancial servicesinsurance violation2015AZ-DIFI$21,000
Federal Insurance Co. et al.Chubb Limitedfinancial servicesinsurance violation2003CA-INS$403,652
Coast National Insurance Co.Zurich Insurancefinancial servicesinsurance violation2005CA-INS$120,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.