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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
UBS FINANCIAL SERVICES, INC.UBSfinancial servicesinvestor protection violation2007VA-SEC$100,000
Metropolitan Property and CasualtyZurich Insurancefinancial servicesinsurance violation2007VA-INS$5,000
CHUBB INDEMNITY INSURANCE, ET AL.Chubb Limitedfinancial servicesinsurance violation2007VA-INS$5,000
FOREMOST INSURANCE CO.Zurich Insurancefinancial servicesinsurance violation2010VA-INS$6,000
UBS FINANCIAL SERVICES, INC.UBSfinancial servicesinvestor protection violation2010VA-SEC$625,000
EMPIRE FIRE & MARINE INSURANCE COZurich Insurancefinancial servicesinsurance violation2011VA-INS$25,000
American Guarantee and Liability Insurance CompanyZurich Insurancefinancial servicesinsurance violation2011VA-INS$5,000
BRISTOL WEST INSURANCE CO.Zurich Insurancefinancial servicesinsurance violation2011VA-INS$75,400
FEDERAL INSURANCE CO.,Chubb Limitedfinancial servicesinsurance violation2015VA-INS$132,761
FEDERAL INSURANCE COMPANYChubb Limitedfinancial servicesinsurance violation2017VA-INS$6,261
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019VA-SEC$288,970
Bristol West Casualty Insurance Company and Bristol West Insurance CompanyZurich Insurancefinancial servicesinsurance violation2020VA-INS$27,560
Bristol West Casualty Insurance Company and Bristol West Insurance CompanyZurich Insurancefinancial servicesinsurance violation2020VA-INS$91,872
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2014VT-FIN$325,000
Chubb Group Of CompaniesChubb Limitedfinancial servicesinsurance violation2011WA-INS$534,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2011WA-INS$50,000
Farmers Insurance Company Of Washington And Farmers Insurance ExchangeZurich Insurancefinancial servicesinsurance violation2012WA-INS$10,000
American Guarantee & Liability Insurance Company et al.Zurich Insurancefinancial servicesinsurance violation2013WA-INS$50,000
Combined Insurance Company Of AmericaChubb Limitedfinancial servicesinsurance violation2014WA-INS$5,000
Farmers Insurance Company Of WashingtonZurich Insurancefinancial servicesinsurance violation2015WA-INS$100,000
Bankers Standard Insurance CompanyChubb Limitedfinancial servicesinsurance violation2015WA-INS$25,000
Farmers Insurance Company Of WashingtonZurich Insurancefinancial servicesinsurance violation2015WA-INS$300,000
Zurich American Insurance CompanyZurich Insurancefinancial servicesinsurance violation2016WA-INS$20,000
Federal Insurance CompanyChubb Limitedfinancial servicesinsurance violation2017WA-INS$30,000
Farmers Insurance Company Of WashingtonZurich Insurancefinancial servicesinsurance violation2017WA-INS$10,000
Illinois Union Ins CoChubb Limitedfinancial servicesinsurance violation2019WA-INS$102,000
Bankers Standard Insurance Company et al.Chubb Limitedfinancial servicesinsurance violation2019WA-INS$25,000
Farmers Insurance Company Of Washington And Farmers Insurance ExchangeZurich Insurancefinancial servicesinsurance violation2020WA-INS$50,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2020WA-INS$750,000
Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2003WA-INS$500,000
Foremost Insurance Co.Zurich Insurancefinancial servicesinsurance violation2003WI-INS$8,500
Universal Underwriters Service Corp.Zurich Insurancefinancial servicesinsurance violation2008WI-INS$10,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2008MULTI-FIN$15,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2013MULTI-FIN$4,600,000
UBS Securities LLC and UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000
UBS Warburg and UBS PaineWebberUBSfinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Pacific Indemnity Co.Chubb Limitedfinancial servicesinsurance violation2020CT-INS$16,000
Mid-Century Insurance CompanyZurich Insurancefinancial servicesinsurance violation2020NY-DFS$200,000
Federal Insurance Co.Chubb Limitedfinancial servicesinsurance violation2020SD-INS$25,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2020SEC$10,000,000
Zurich American Insurance Co. of IllinoisZurich Insurancefinancial servicesinsurance violation2020TX-INS$10,800
Ace American Insurance Co.Chubb Limitedfinancial servicesinsurance violation2020TX-INS$19,500
Security National Insurance Co.Zurich Insurancefinancial servicesinsurance violation2020WA-INS$5,000
Vitol Inc.Vitolfinancial servicesfraud2020CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000
Vitol Inc.Vitolfinancial servicesForeign Corrupt Practices Act2020DOJ_CRIMINAL$135,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2020SEC$600,000
ACE AMERICAN INSURANCE COMPANY ET AL.Chubb Limitedfinancial servicesinsurance violation2020WA-INS$50,000
ZURICH AMERICAN INS COZurich Insurancefinancial serviceswage and hour violation2018IL-DOL$13,865
Vitol, Inc.Vitolfinancial servicesair pollution violation2014CA-ARB$70,000
VitolVitolfinancial servicesair pollution violation2007CA-ARB$150,000
GlencoreGlencorefinancial servicesair pollution violation2006CA-ARB$10,000
VitolVitolfinancial servicesair pollution violation2005CA-ARB$20,000
Vitol S.A.Vitolfinancial servicesair pollution violation2002CA-ARB$25,000
UBS AGUBSfinancial servicesenvironmental violation2011CT-ENV$80,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2020TX-INS$15,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2020TX-INS$9,500
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2020TX-INS$8,500
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2019FINRA$6,500,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019FINRA$2,000,000
UBS Financial Services Inc. and UBS Securities LLCUBSfinancial servicesanti-money-laundering deficiencies2018FINRA$5,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesanti-money-laundering deficiencies2016FINRA$16,500,000
UBS Financial Services Incorporated of Puerto RicoUBSfinancial servicesinvestor protection violation2015FINRA$18,500,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2014FINRA$5,000,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2012FINRA$2,354,584
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011FINRA$1,750,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011FINRA$12,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011FINRA$4,500,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2011FINRA$10,750,000
UBS SecuritiesUBSfinancial servicesinvestor protection violation2009FINRA$268,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2009FINRA$275,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2009FINRA$100,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008FINRA$1,000,000
UBS Securities, LLCUBSfinancial servicesinvestor protection violation2008FINRA$200,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007FINRA$370,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2006FINRA$225,000
UBS International Inc.UBSfinancial servicesinvestor protection violation2005FINRA$10,000
Credit Suisse First Boston, L.L.C.UBSfinancial servicesinvestor protection violation2004FINRA$50,000
Schwab Capital Markets, L.P.UBSfinancial servicesinvestor protection violation2004FINRA$70,000
UBS Securities, L.L.C.UBSfinancial servicesinvestor protection violation2004FINRA$10,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004FINRA$200,666
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2004FINRA$770,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Schwab Capital MarketsUBSfinancial servicesinvestor protection violation2001FINRA$12,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2001FINRA$25,000
CS First Boston Corp.UBSfinancial servicesinvestor protection violation2000FINRA$1,240,000
American Guarantee and Liability Insurance CompanyZurich Insurancefinancial servicesinsurance violation2020CT-INS$10,000
Farmers InsuranceZurich Insurancefinancial servicesinsurance violation2021OK-AG$25,000,000
Ace American Insurance CompanyChubb Limitedfinancial servicesinsurance violation2021UT-INS$41,500
Metropolitan Property and Casualty Insurance CompanyZurich Insurancefinancial servicesinsurance violation2021VT-FIN$13,000
Bank Julius Baer & Co. Ltd.Julius Baer Groupfinancial servicesmoney laundering2021DOJ_CRIMINAL$79,000,000
Swiss Life Holding AG et al.Swiss Life Groupfinancial servicestax violations2021DOJ_TAX$77,374,337
Credit SuisseUBSfinancial servicesinvestor protection violation2021CFTC$1,500,000
Ace American Insurance Co. and Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2021MD-INS$7,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insurancefinancial servicesinsurance violation2021OR-FIN$15,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2021SEC$8,112,174
Federal Insurance Co.Chubb Limitedfinancial servicesinsurance violation2021TX-INS$19,000
Ace American Insurance Co.Chubb Limitedfinancial servicesinsurance violation2021TX-INS$5,000
Indemnity Insurance Company of North AmericaChubb Limitedfinancial servicesinsurance violation2021TX-INS$5,000
Foremost Insurance Company Grand Rapids MichiganZurich Insurancefinancial servicesinsurance violation2021WA-INS$75,000
UBS AGUBSfinancial servicesinvestor protection violation2021CFTC$500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.