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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $385,467,775,190
Number of Records: 7,525
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals 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
Bank of America$87,248,751,230324
JPMorgan Chase$39,322,669,157272
UBS$31,059,299,125178
Wells Fargo$27,517,928,133261
Citigroup$26,945,611,792181
Deutsche Bank$20,006,467,56398
Goldman Sachs$17,729,327,552109
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,542,431,900198
BNP Paribas$10,363,464,66623

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 Parent sort icon . Primary Offense TypeYearAgencyPenalty Amount
UBS Securities LLCUBSinvestor protection violation2015SEC$14,400,000
Credit Suisse Group AGUBSinvestor protection violation2014SEC$196,000,000
UBS SecuritiesUBStoxic securities abuses2013SEC$50,000,000
Credit Suisse Securities (USA)UBStoxic securities abuses2012SEC$120,000,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2012SEC$26,600,000
UBS Global Asset ManagementUBSinvestor protection violation2012SEC$300,000
UBS Securities LLCUBSinvestor protection violation2011SEC$8,000,000
Credit SuisseUBStoxic securities abuses2014FHFA$885,000,000
UBS Americas Inc.UBStoxic securities abuses2013FHFA$885,000,000
UBSUBStoxic securities abuses2016NCUA$69,800,000
Credit SuisseUBStoxic securities abuses2016NCUA$50,300,000
Credit SuisseUBSinvestor protection violation2016CFTC$665,000
UBS AGUBSprice-fixing or anti-competitive practices2014CFTC$290,000,000
UBS AGUBSprice-fixing or anti-competitive practices2012CFTC$700,000,000
UBS SecuritiesUBSdata submission deficiencies2010CFTC$200,000
Credit Suisse AGUBStax violations2014DOJ_TAX$1,800,000,000
UBS AGUBSeconomic sanction violation2015OFAC$1,700,100
UBS Financial ServicesUBSinvestor protection violation2014SEC$56,400
UBS AGUBSinvestor protection violation2010CFTC$130,000
UBS Fund Advisor, LLCUBSdata submission deficiencies2009CFTC$50,000
UBS AGUBSeconomic sanction violation2004FED$100,000,000
Credit Suisse AGUBSeconomic sanction violation2009DOJ_CRIMINAL$268,000,000
UBS AGUBStax violations2009DOJ_TAX$780,000,000
UBS (USA) IncUBSeconomic sanction violation2003OFAC$14,750
UBS (USA) IncUBSeconomic sanction violation2003OFAC$5,000
UBS AGUBStax violations2009SEC$200,000,000
UBS Financial Services Inc.UBSinvestor protection violation2004SEC$4,621,768
UBS PaineWebber, Inc.UBSinvestor protection violation2003SEC$500,000
Credit Suisse First Boston LLCUBSinvestor protection violation2003SEC$200,000,000
UBS Warburg LLCUBSinvestor protection violation2003SEC$80,000,000
Credit Suisse First Boston CorporationUBSinvestor protection violation2002SEC$100,000,000
PaineWebber IncorporatedUBSinvestor protection violation2000SEC$26,200,000
Warburg Dillon Read LLCUBSinvestor protection violation2000SEC$6,680,000
UBS Financial ServicesUBSinvestor protection violation2016SEC$15,025,882
Credit Suisse AGUBSaccounting fraud or deficiencies2016SEC$90,000,000
Credit SuisseUBStoxic securities abuses2017DOJ_CIVIL$5,280,000,000
UBS, Inc.UBSwage and hour violation2013WHD$90,902
UBS Financial Services, Inc.UBSwage and hour violation2007WHD$27,152
UBS Inc.UBSlabor relations violation2010NLRB$26,351
UBSUBStoxic securities abuses2017NCUA$445,000,000
UBS Financial Services, Inc.UBSinvestor protection violation2017SEC$3,500,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2017SEC$5,754,714
UBS Financial Services Inc.UBSinvestor protection violation2015SEC$480,000
UBS AGUBSinvestor protection violation2018CFTC$15,000,000
UBSUBSwage and hour violation2015private lawsuit-federal$1,312,500
UBSUBSwage and hour violation2012private lawsuit-federal$1,400,000
UBS as successor to Piper JaffrayUBSwage and hour violation2008private lawsuit-federal$5,500,000
UBSUBSwage and hour violation2007private lawsuit-federal$44,000,000
UBSUBSwage and hour violation2007private lawsuit-federal$45,000,000
UBS O'Connor, LLCUBSinvestor protection violation2013SEC$5,297,716
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSinvestor protection violation2011SEC$2,500,000
Credit Suisse (Hong Kong) LimitedUBSForeign Corrupt Practices Act2018DOJ_CRIMINAL$47,029,916
UBS Financial Services Inc.UBSwage and hour violation2018WHD$6,246
Credit Suisse Group AGUBSForeign Corrupt Practices Act2018SEC$29,700,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2018SEC$5,000,000
UBS Securities LLCUBSinvestor protection violation2005SEC$700,000
Credit Suisse First Boston, LLCUBSinvestor protection violation2005SEC$200,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSinvestor protection violation2004SEC$1,000,000
UBS Global Asset ManagementUBSbenefit plan administrator violation2006private lawsuit-federal$5,493,000
UBS Financial Services Inc.UBSinvestor protection violation2018SEC$5,000,000
UBS Financial Services Inc.UBSanti-money-laundering deficiencies2018FINCEN$5,000,000
Credit Suisse First Boston Corp.UBSinvestor 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 SecuritiesUBSinvestor protection violation2016NY-AG$30,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2011NJ-AG$1,057,996
Credit Suisse Securities (USA) LLCUBSinvestor 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) LLCUBStoxic securities abuses2016VA-AG$1,200,000
UBSUBSinvestor protection violation2010MI-AG$117,000,000
UBS AGUBSprice-fixing or anti-competitive practices2018MULTI-AG$68,000,000
UBS AGUBSprice-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.UBSinvestor protection violation2006NJ-AG$24,750,000
UBS Financial Services, IncUBSinvestor protection violation2013MULTI-AG$4,580,000
UBS Financial Services, Inc.UBSinvestor protection violation2013DE-AG$70,077
UBS Financial Services, Inc.UBSinvestor protection violation2007NY-AG$23,300,000
UBS Financial Services, Inc. and UBS Securities LLCUBStoxic securities abuses2008MA-AG$35,000,000
UBS Securities LLCUBStoxic securities abuses2018NY-AG$230,000,000
UBS Securities LLCUBStoxic securities abuses2016VA-AG$850,000
UBS Securities LLC and UBS Financial Services, IncUBSinvestor protection violation2011NJ-AG$3,790,487
UBS Securities LLC and UBS Financial Services, Inc.UBSinvestor protection violation2008MULTI-AG$11,150,000,000
UBS Warburg LLCUBSinvestor 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 AGUBSprice-fixing or anti-competitive practices2016WV-AG$325,000
Credit Suisse AGUBSeconomic sanction violation2009NY-MANDA$268,000,000
UBS Securities LLCUBSinvestor protection violation2010AK-DBS$733,465
UBS Financial Services, Inc.UBSinvestor protection violation2013AK-DBS$64,661
UBS Financial Services Inc.UBSinvestor protection violation2007CT-SEC$5,500,000
UBS Financial ServicesUBSinvestor protection violation2011IN-SEC$677,000
UBS Financial Services, Inc.UBSinvestor protection violation2007MO-SEC$697,210
UBS Financial Services, Inc.UBSinvestor protection violation2009MO-SEC$170,175
UBS Financial Services, Inc.UBSinvestor protection violation2006MT-FIN$4,503,166
UBS Financial Services Inc.UBSinvestor protection violation2011NH-BSR$1,000,000
UBS Financial Services Inc.UBSinvestor protection violation2012NH-BSR$72,500
Credit Suisse AGUBStax violations2014NY-DFS$715,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2017NY-DFS$135,000,000
UBS Securities LLCUBSinvestor protection violation2010TX-SEC$6,640,432
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2007VA-SEC$100,000
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2010VA-SEC$625,000
UBS Financial Services Inc.UBSinvestor protection violation2019VA-SEC$288,970
UBS Financial Services Inc.UBSinvestor protection violation2014VT-FIN$325,000
Credit Suisse First Boston LLCUBSinvestor 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) LLCUBSinvestor protection violation2008MULTI-FIN$15,000,000
UBS Financial Services Inc.UBSinvestor protection violation2013MULTI-FIN$4,600,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor 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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.