Unum Life Insurance Company of America | Unum | consumer protection violation | 2016 | private lawsuit-federal | $45,998,014 |
UNUM GROUP CORPORATION | Unum | workplace safety or health violation | 2011 | OSHA | $5,400 |
Univest Corporation of Pennsylvania | Univest Financial | Family and Medical Leave Act | 2016 | WHD | $5,076 |
Universal Property & Casualty Insurance Co. | Universal Insurance Holdings | insurance violation | 2004 | FL-OFR | $47,500 |
Universal Property & Casualty Insurance Co. | Universal Insurance Holdings | insurance violation | 2009 | FL-OFR | $99,000 |
Universal Property & Casualty Insurance Co. | Universal Insurance Holdings | insurance violation | 2013 | FL-OFR | $1,260,000 |
Universal Property & Casualty Insurance Co. | Universal Insurance Holdings | insurance violation | 2022 | MN-FIN | $10,000 |
United Community Banks, Inc. | United Community Banks Inc. | benefit plan administrator violation | 2013 | private lawsuit-federal | $3,500,000 |
United Bank For Africa PLC | United Bank for Africa plc | banking violation | 2007 | OCC | $500,000 |
United Bank for Africa | United Bank for Africa plc | anti-money-laundering deficiencies | 2008 | FINCEN | $15,000,000 |
United Bank for Africa PLC | United Bank for Africa plc | obstruction of justice | 2007 | USAO | $5,334,331 |
Union Savings Bank and Guardian Savings Bank | Union Savings Bank | discriminatory practices (non-employment) | 2016 | DOJ_RIGHTS | $9,000,000 |
Union Bancaire Privee | Union Bancaire Privee | tax violations | 2016 | DOJ_TAX | $187,000,000 |
Coutts & Co Ltd | Union Bancaire Privee | tax violations | 2015 | DOJ_TAX | $78,484,000 |
Union Bancaire Privee, UBP SA | Union Bancaire Privee | tax violations | 2020 | DOJ_TAX | $14,000,000 |
Coutts & Co Ltd. | Union Bancaire Privee | tax violations | 2019 | DOJ_TAX | $27,900,000 |
UniCredit Group | UniCredit | economic sanction violation | 2019 | DOJ_CRIMINAL | $413,536,632 |
UniCredit, S.p.A. | UniCredit | banking violation | 2019 | FED | $158,000,000 |
UniCredit Bank AG | UniCredit | economic sanction violation | 2019 | OFAC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $553,380,759 |
UniCredit Bank Austria AG | UniCredit | economic sanction violation | 2019 | OFAC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $20,326,340 |
UniCredit S.p.A. | UniCredit | economic sanction violation | 2019 | OFAC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,316,322 |
UniCredit Bank AG | UniCredit | economic sanction violation | 2019 | NY-MANDA | $316,000,000 |
UniCredit Bank Austria AG | UniCredit | economic sanction violation | 2019 | NY-MANDA | $20,000,000 |
UniCredit Group | UniCredit | economic sanction violation | 2019 | NY-DFS | $405,000,000 |
UMPQUA BANK | Umpqua Holdings | banking violation | 2008 | FDIC | $90,240 |
Umpqua Bank | Umpqua Holdings | wage and hour violation | 2015 | WA-DLI | $15,350 |
Sterling Financial Corporation | Umpqua Holdings | benefit plan administrator violation | 2013 | private lawsuit-federal | $3,025,000 |
Umpqua Bank | Umpqua Holdings | employment screening violation | 2019 | private lawsuit-federal | $325,000 |
Umpqua Bank | Umpqua Holdings | banking violation | 2021 | FDIC | $1,800,000 |
UMB Bank, NA | UMB Financial Corp. | banking violation | 2017 | OCC | $1,500,000 |
UMB Bank N.A. Investment Banking Division | UMB Financial Corp. | investor protection violation | 2015 | SEC | $420,000 |
UBS Securities Japan Co. Ltd. | UBS | price-fixing or anti-competitive practices | 2012 | DOJ_ANTITRUST | $500,000,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $160,000,000 |
UBS AG | UBS | banking violation | 2015 | FED | $342,000,000 |
Credit Suisse AG | UBS | banking violation | 2014 | FED | $100,000,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2015 | DOJ_CRIMINAL | $203,000,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2016 | SEC | $54,300,000 |
UBS Willow Management LLC and UBS Fund Advisor LLC | UBS | investor protection violation | 2015 | SEC | $17,500,000 |
UBS AG | UBS | investor protection violation | 2015 | SEC | $19,500,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | investor protection violation | 2015 | SEC | $15,000,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2015 | SEC | $4,250,000 |
UBS Securities LLC | UBS | investor protection violation | 2015 | SEC | $14,400,000 |
Credit Suisse Group AG | UBS | investor protection violation | 2014 | SEC | $196,000,000 |
UBS Securities | UBS | toxic securities abuses | 2013 | SEC | $50,000,000 |
Credit Suisse Securities (USA) | UBS | toxic securities abuses | 2012 | SEC | $120,000,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | investor protection violation | 2012 | SEC | $26,600,000 |
UBS Global Asset Management | UBS | investor protection violation | 2012 | SEC | $300,000 |
UBS Securities LLC | UBS | investor protection violation | 2011 | SEC | $8,000,000 |
Credit Suisse | UBS | toxic securities abuses | 2014 | FHFA | $885,000,000 |
UBS Americas Inc. | UBS | toxic securities abuses | 2013 | FHFA | $885,000,000 |
UBS | UBS | toxic securities abuses | 2016 | NCUA | $69,800,000 |
Credit Suisse | UBS | toxic securities abuses | 2016 | NCUA | $50,300,000 |
Credit Suisse | UBS | investor protection violation | 2016 | CFTC | $665,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2014 | CFTC | $290,000,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2012 | CFTC | $700,000,000 |
UBS Securities | UBS | investor protection violation | 2010 | CFTC | $200,000 |
Credit Suisse AG | UBS | tax violations | 2014 | DOJ_TAX | $1,800,000,000 |
UBS AG | UBS | economic sanction violation | 2015 | OFAC | $1,700,100 |
UBS Financial Services | UBS | investor protection violation | 2014 | SEC | $56,400 |
UBS AG | UBS | investor protection violation | 2010 | CFTC | $130,000 |
UBS Fund Advisor, LLC | UBS | investor protection violation | 2009 | CFTC | $50,000 |
UBS AG | UBS | economic sanction violation | 2004 | FED | $100,000,000 |
Credit Suisse AG | UBS | economic sanction violation | 2009 | DOJ_CRIMINAL | $268,000,000 |
UBS AG | UBS | tax violations | 2009 | DOJ_TAX | $780,000,000 |
UBS (USA) Inc | UBS | economic sanction violation | 2003 | OFAC | $14,750 |
UBS (USA) Inc | UBS | economic sanction violation | 2003 | OFAC | $5,000 |
UBS AG | UBS | tax violations | 2009 | SEC | $200,000,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2004 | SEC | $4,621,768 |
UBS PaineWebber, Inc. | UBS | investor protection violation | 2003 | SEC | $500,000 |
Credit Suisse First Boston LLC | UBS | investor protection violation | 2003 | SEC | $200,000,000 |
UBS Warburg LLC | UBS | investor protection violation | 2003 | SEC | $80,000,000 |
Credit Suisse First Boston Corporation | UBS | investor protection violation | 2002 | SEC | $100,000,000 |
PaineWebber Incorporated | UBS | investor protection violation | 2000 | SEC | $26,200,000 |
Warburg Dillon Read LLC | UBS | investor protection violation | 2000 | SEC | $6,680,000 |
UBS Financial Services | UBS | investor protection violation | 2016 | SEC | $15,025,882 |
Credit Suisse AG | UBS | accounting fraud or deficiencies | 2016 | SEC | $90,000,000 |
Credit Suisse | UBS | toxic securities abuses | 2017 | DOJ_CIVIL | $5,280,000,000 |
UBS, Inc. | UBS | wage and hour violation | 2013 | WHD | $90,902 |
UBS Financial Services, Inc. | UBS | wage and hour violation | 2007 | WHD | $27,152 |
UBS Inc. | UBS | labor relations violation | 2010 | NLRB | $26,351 |
UBS | UBS | toxic securities abuses | 2017 | NCUA | $445,000,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2017 | SEC | $3,500,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2017 | SEC | $5,754,714 |
UBS Financial Services Inc. | UBS | investor protection violation | 2015 | SEC | $480,000 |
UBS AG | UBS | investor protection violation | 2018 | CFTC | $15,000,000 |
UBS | UBS | wage and hour violation | 2015 | private lawsuit-federal | $1,312,500 |
UBS | UBS | wage and hour violation | 2012 | private lawsuit-federal | $1,400,000 |
UBS as successor to Piper Jaffray | UBS | wage and hour violation | 2008 | private lawsuit-federal | $5,500,000 |
UBS | UBS | wage and hour violation | 2007 | private lawsuit-federal | $44,000,000 |
UBS | UBS | wage and hour violation | 2007 | private lawsuit-federal | $45,000,000 |
UBS O'Connor, LLC | UBS | investor protection violation | 2013 | SEC | $5,297,716 |
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC | UBS | investor protection violation | 2011 | SEC | $2,500,000 |
Credit Suisse (Hong Kong) Limited | UBS | Foreign Corrupt Practices Act | 2018 | DOJ_CRIMINAL | $47,029,916 |
UBS Financial Services Inc. | UBS | wage and hour violation | 2018 | WHD | $6,246 |
Credit Suisse Group AG | UBS | Foreign Corrupt Practices Act | 2018 | SEC | $29,700,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2018 | SEC | $5,000,000 |
UBS Securities LLC | UBS | investor protection violation | 2005 | SEC | $700,000 |
Credit Suisse First Boston, LLC | UBS | investor protection violation | 2005 | SEC | $200,000 |
Donaldson, Lufkin & Jenrette Securities Corp. | UBS | investor protection violation | 2004 | SEC | $1,000,000 |
UBS Global Asset Management | UBS | benefit plan administrator violation | 2006 | private lawsuit-federal | $5,493,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2018 | SEC | $5,000,000 |