UniCredit Bank AG | UniCredit | financial services | economic sanction violation | 2019 | NY-MANDA | $316,000,000 |
UniControl, Inc. | | | economic sanction violation | 2021 | OFAC | $216,464 |
UNICO BANK | | | banking violation | 2001 | FDIC | $12,000 |
UniBank for Savings | | | banking violation | 2015 | FDIC | $6,250 |
UniBank Fiscal Advisory Systems, Inc. | | | tax violations | 2015 | CT-AG | $18,675 |
Uni-Pixel Inc. | | | investor protection violation | 2016 | SEC | $750,000 |
Under Armour Inc. | Under Armour | apparel | investor protection violation | 2021 | SEC | $9,000,000 |
UMPQUA BANK | Umpqua Holdings | financial services | banking violation | 2008 | FDIC | $90,240 |
Umpqua Bank | Umpqua Holdings | financial services | banking violation | 2021 | FDIC | $1,800,000 |
Umbrella Research, LLC | | | investor protection violation | 2017 | SEC | $16,676 |
UMB Financial Services, Inc. | | | investor protection violation | 2008 | MO-SEC | $43,000 |
UMB Bank, NA | UMB Financial Corp. | financial services | banking violation | 2017 | OCC | $1,500,000 |
UMB Bank N.A. Investment Banking Division | UMB Financial Corp. | financial services | investor protection violation | 2015 | SEC | $420,000 |
Ulysses Partners, LLC | | | investor protection violation | 2014 | CT-SEC | $25,000 |
Ultramar Travel Management, Inc. | | | tax violations | 2014 | CT-AG | $5,970 |
Ultra Global International, Inc. | | | investor protection violation | 2016 | MO-SEC | $200,000 |
Ultimate Ventures, Inc. | | | investor protection violation | 2005 | ID-SEC | $2,771,378 |
Ultimate Ventures Inc. | | | investor protection violation | 2007 | OR-FIN | $60,000 |
Ultimate Business Solutions, LLC | | | investor protection violation | 2015 | MO-SEC | $18,500 |
UINTA BANK | | | banking violation | 2014 | FED | $9,985 |
UHY LLP | | | accounting fraud or deficiencies | 2023 | PCAOB | $45,000 |
UCI Wealth Advisors LLC | | | investor protection violation | 2016 | ID-SEC | $19,700 |
UC Asset LP | | | investor protection violation | 2023 | WA-SEC | $12,500 |
UBS Willow Management LLC and UBS Fund Advisor LLC | UBS | financial services | investor protection violation | 2015 | SEC | $17,500,000 |
UBS Warburg LLC | UBS | financial services | investor protection violation | 2003 | SEC | $80,000,000 |
UBS Warburg LLC | UBS | financial services | investor protection violation | 2002 | MULTI-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 Warburg and UBS PaineWebber | UBS | financial services | investor protection violation | 2003 | MULTI-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 |
UBS Securities LLC and UBS Financial Services, Inc | UBS | financial services | investor protection violation | 2011 | NJ-AG | $3,790,487 |
UBS Securities LLC and UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2022 | SEC | $125,000,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2015 | SEC | $14,400,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2005 | SEC | $700,000 |
UBS Securities LLC | UBS | financial services | toxic securities abuses | 2016 | VA-AG | $850,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2010 | AK-DBS | $733,465 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2010 | TX-SEC | $6,640,432 |
UBS Securities | UBS | financial services | toxic securities abuses | 2013 | SEC | $50,000,000 |
UBS O'Connor, LLC | UBS | financial services | investor protection violation | 2013 | SEC | $5,297,716 |
UBS Group AG | UBS | financial services | banking violation | 2023 | FED | $268,500,000 |
UBS Global Asset Management | UBS | financial services | investor protection violation | 2012 | SEC | $300,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2017 | SEC | $3,500,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2013 | DE-AG | $70,077 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2007 | NY-AG | $23,300,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2013 | AK-DBS | $64,661 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2009 | MO-SEC | $170,175 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2006 | MT-FIN | $4,503,166 |
UBS FINANCIAL SERVICES, INC. | UBS | financial services | investor protection violation | 2007 | VA-SEC | $100,000 |
UBS FINANCIAL SERVICES, INC. | UBS | financial services | investor protection violation | 2010 | VA-SEC | $625,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2011 | FINRA | $10,750,000 |
UBS Financial Services, Inc | UBS | financial services | investor protection violation | 2013 | MULTI-AG | $4,580,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | financial services | investor protection violation | 2012 | SEC | $26,600,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2015 | SEC | $480,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2018 | SEC | $5,000,000 |
UBS Financial Services Inc. | UBS | financial services | anti-money-laundering deficiencies | 2018 | FINCEN | $5,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2011 | NH-BSR | $1,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2012 | NH-BSR | $72,500 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2019 | VA-SEC | $288,970 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2014 | VT-FIN | $325,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2013 | MULTI-FIN | $4,600,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2019 | FINRA | $2,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2021 | SEC | $8,112,174 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2022 | SEC | $925,000 |
UBS Financial Services | UBS | financial services | investor protection violation | 2014 | SEC | $56,400 |
UBS Financial Services | UBS | financial services | investor protection violation | 2016 | SEC | $15,025,882 |
UBS AG | UBS | financial services | banking violation | 2015 | FED | $342,000,000 |
UBS AG | UBS | financial services | investor protection violation | 2015 | SEC | $19,500,000 |
UBS AG | UBS | financial services | economic sanction violation | 2015 | OFAC | $1,700,100 |
UBS AG | UBS | financial services | tax violations | 2009 | DOJ_TAX | $780,000,000 |
UBS AG | UBS | financial services | tax violations | 2009 | SEC | $200,000,000 |
UBS AG | UBS | financial services | investor protection violation | 2021 | CFTC | $500,000 |
UBS (USA) Inc | UBS | financial services | economic sanction violation | 2003 | OFAC | $14,750 |
UBS (USA) Inc | UBS | financial services | economic sanction violation | 2003 | OFAC | $5,000 |
UBS | UBS | financial services | toxic securities abuses | 2017 | NCUA | $445,000,000 |
UBS | UBS | financial services | investor protection violation | 2010 | MI-AG | $117,000,000 |
UBS | UBS | financial services | banking violation | 2023 | TX-AG | $850,000 |
Ubiquiti Networks, Inc. | | | economic sanction violation | 2014 | OFAC | $504,225 |
UASNM, Inc. | | | investor protection violation | 2014 | SEC | $100,000 |
UAB Mid West Group | | | investor protection violation | 2020 | WI-FIN | $250,000 |
U.S. Water Services, Inc. | | | tax violations | 2015 | CT-AG | $6,570 |
U.S. Volleyball Association | | | economic sanction violation | 2003 | OFAC | $10,000 |
U.S. Trust Corporation | Bank of America | financial services | banking violation | 2001 | FED | $5,000,000 |
U.S. Trust Corporation | Bank of America | financial services | anti-money-laundering deficiencies | 2001 | NY-DFS | $5,000,000 |
U.S. Securities Intl. Corp. | | | investor protection violation | 2002 | OR-FIN | $10,000 |
U.S. Recycling Corp. and Metals Recycling Depot, Inc. | | | investor protection violation | 2001 | WA-FIN | $10,000 |
U.S. Pension Trust Corp. and U.S. College Trust Corp. | U.S. Pension Trust Corp. | financial services | investor protection violation | 2010 | SEC | $112,600,000 |
U.S. Media Team, LLC and Cell Wireless Corp. | | | investor protection violation | 2013 | AZ-CC | $139,000 |
U.S. Media Team, LLC | | | investor protection violation | 2011 | AZ-CC | $116,260 |
U.S. Investors Group, Inc. | | | investor protection violation | 2002 | FL-OFR | $10,000 |
U.S. Data Mining Group, Inc. | | | investor protection violation | 2021 | VA-SEC | $6,000 |
U.S. Data Mining Group | | | investor protection violation | 2022 | MA-SEC | $1,000,000 |
U.S. Bank National Association | U.S. Bancorp | financial services | banking violation | 2014 | OCC | $51,900,000 |
U.S. Bank National Association | U.S. Bancorp | financial services | banking violation | 2006 | OCC | $125,000 |
U.S. Bank National Association | U.S. Bancorp | financial services | banking violation | 2017 | OCC | $15,000,000 |
U.S. Bank National Association | U.S. Bancorp | financial services | banking violation | 2017 | OCC | $183,920 |
U.S. Bank National Association | U.S. Bancorp | financial services | anti-money-laundering deficiencies | 2018 | OCC | $75,000,000 |
U.S. Bank National Association | U.S. Bancorp | financial services | anti-money-laundering deficiencies | 2018 | FINCEN | $70,000,000 |
U.S. Bank National Association | U.S. Bancorp | financial services | investor protection violation | 2005 | SEC | $500,000 |
U.S. Bank National Association | U.S. Bancorp | financial services | banking violation | 2023 | OCC | $15,000,000 |
U.S. Bank Municipal Securities Group | U.S. Bancorp | financial services | investor protection violation | 2015 | SEC | $60,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2003 | SEC | $32,500,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2002 | SEC | $100,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $12,500,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |