Union Bank | U.S. Bancorp | wage and hour violation | 2012 | private lawsuit-federal | $3,500,000 |
Union Bancaire Privee, UBP SA | Union Bancaire Privee | tax violations | 2020 | DOJ_TAX | $14,000,000 |
Union Bancaire Privee | Union Bancaire Privee | tax violations | 2016 | DOJ_TAX | $187,000,000 |
Unigard Insurance Co. | QBE Insurance | insurance violation | 2010 | AZ-DIFI | $16,000 |
Unigard Insurance Co. | QBE Insurance | insurance violation | 2016 | MT-FIN | $25,000 |
Unigard Insurance Co. | QBE Insurance | insurance violation | 2016 | MT-FIN | $15,000 |
UniCredit, S.p.A. | UniCredit | banking violation | 2019 | FED | $158,000,000 |
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 Group | UniCredit | economic sanction violation | 2019 | DOJ_CRIMINAL | $413,536,632 |
UniCredit Group | UniCredit | economic sanction violation | 2019 | NY-DFS | $405,000,000 |
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 Bank Austria AG | UniCredit | economic sanction violation | 2019 | NY-MANDA | $20,000,000 |
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 AG | UniCredit | economic sanction violation | 2019 | NY-MANDA | $316,000,000 |
UMPQUA BANK | Umpqua Holdings | banking violation | 2008 | FDIC | $90,240 |
Umpqua Bank | Umpqua Holdings | wage and hour violation | 2015 | WA-DLI | $15,350 |
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, Inc. | UBS | wage and hour violation | 2013 | WHD | $90,902 |
UBS Willow Management LLC and UBS Fund Advisor LLC | UBS | investor protection violation | 2015 | SEC | $17,500,000 |
UBS Warburg LLC | UBS | investor protection violation | 2003 | SEC | $80,000,000 |
UBS Warburg LLC | UBS | 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 | 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 | UBS | investor protection violation | 2008 | FINRA | $200,000 |
UBS Securities, L.L.C. | UBS | investor protection violation | 2004 | FINRA | $10,000 |
UBS Securities LLC and UBS Financial Services, Inc. | UBS | investor protection violation | 2008 | MULTI-AG | $11,150,000,000 |
UBS Securities LLC and UBS Financial Services, Inc | UBS | investor protection violation | 2011 | NJ-AG | $3,790,487 |
UBS Securities LLC and UBS Financial Services Inc. | UBS | investor protection violation | 2008 | 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. $150,000,000 |
UBS Securities LLC and UBS Financial Services Inc. | UBS | investor protection violation | 2022 | SEC | $125,000,000 |
UBS Securities LLC | UBS | investor protection violation | 2015 | SEC | $14,400,000 |
UBS Securities LLC | UBS | investor protection violation | 2011 | SEC | $8,000,000 |
UBS Securities LLC | UBS | investor protection violation | 2005 | SEC | $700,000 |
UBS Securities LLC | UBS | toxic securities abuses | 2018 | NY-AG | $230,000,000 |
UBS Securities LLC | UBS | toxic securities abuses | 2016 | VA-AG | $850,000 |
UBS Securities LLC | UBS | investor protection violation | 2010 | AK-DBS | $733,465 |
UBS Securities LLC | UBS | investor protection violation | 2010 | TX-SEC | $6,640,432 |
UBS Securities LLC | UBS | investor protection violation | 2011 | FINRA | $12,000,000 |
UBS Securities LLC | UBS | investor protection violation | 2022 | FINRA | $2,500,000 |
UBS Securities LLC | UBS | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
UBS Securities LLC | UBS | consumer protection violation | 2015 | private lawsuit-federal | $78,333,333 |
UBS Securities Japan Co. Ltd. | UBS | price-fixing or anti-competitive practices | 2012 | DOJ_ANTITRUST | $500,000,000 |
UBS Securities | UBS | toxic securities abuses | 2013 | SEC | $50,000,000 |
UBS Securities | UBS | data submission deficiencies | 2010 | CFTC | $200,000 |
UBS Securities | UBS | investor protection violation | 2009 | FINRA | $268,000 |
UBS PaineWebber, Inc. | UBS | investor protection violation | 2003 | SEC | $500,000 |
UBS O'Connor, LLC | UBS | investor protection violation | 2013 | SEC | $5,297,716 |
UBS International Inc. | UBS | investor protection violation | 2005 | FINRA | $10,000 |
UBS Inc. | UBS | labor relations violation | 2010 | NLRB | $26,351 |
UBS Group AG | UBS | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
UBS Group AG | UBS | banking violation | 2023 | FED | $268,500,000 |
UBS Global Asset Management | UBS | investor protection violation | 2012 | SEC | $300,000 |
UBS Global Asset Management | UBS | benefit plan administrator violation | 2006 | private lawsuit-federal | $5,493,000 |
UBS Fund Advisor, LLC | UBS | data submission deficiencies | 2009 | CFTC | $50,000 |
UBS Financial Services, Inc. and UBS Securities LLC | UBS | toxic securities abuses | 2008 | MA-AG | $35,000,000 |
UBS Financial Services, Inc. | UBS | wage and hour violation | 2007 | WHD | $27,152 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2017 | SEC | $3,500,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2013 | DE-AG | $70,077 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2007 | NY-AG | $23,300,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2013 | AK-DBS | $64,661 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2007 | MO-SEC | $697,210 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2009 | MO-SEC | $170,175 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2006 | MT-FIN | $4,503,166 |
UBS FINANCIAL SERVICES, INC. | UBS | investor protection violation | 2007 | VA-SEC | $100,000 |
UBS FINANCIAL SERVICES, INC. | UBS | investor protection violation | 2010 | VA-SEC | $625,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2011 | FINRA | $10,750,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2009 | FINRA | $100,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2008 | FINRA | $1,000,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2007 | FINRA | $370,000 |
UBS Financial Services, Inc | UBS | investor protection violation | 2013 | MULTI-AG | $4,580,000 |
UBS Financial Services Incorporated of Puerto Rico | UBS | investor protection violation | 2015 | FINRA | $18,500,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | investor protection violation | 2015 | SEC | $15,000,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | investor protection violation | 2012 | SEC | $26,600,000 |
UBS Financial Services Inc. and UBS Securities LLC | UBS | anti-money-laundering deficiencies | 2018 | FINRA | $5,000,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2004 | SEC | $4,621,768 |
UBS Financial Services Inc. | UBS | investor protection violation | 2015 | SEC | $480,000 |
UBS Financial Services Inc. | UBS | wage and hour violation | 2018 | WHD | $6,246 |
UBS Financial Services Inc. | UBS | investor protection violation | 2018 | SEC | $5,000,000 |
UBS Financial Services Inc. | UBS | anti-money-laundering deficiencies | 2018 | FINCEN | $5,000,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2006 | NJ-AG | $24,750,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2007 | CT-SEC | $5,500,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2011 | NH-BSR | $1,000,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2012 | NH-BSR | $72,500 |
UBS Financial Services Inc. | UBS | investor protection violation | 2019 | VA-SEC | $288,970 |
UBS Financial Services Inc. | UBS | investor protection violation | 2014 | VT-FIN | $325,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2013 | MULTI-FIN | $4,600,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2020 | SEC | $10,000,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2019 | FINRA | $2,000,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2004 | FINRA | $200,666 |
UBS Financial Services Inc. | UBS | investor protection violation | 2021 | SEC | $8,112,174 |
UBS Financial Services Inc. | UBS | investor protection violation | 2022 | SEC | $25,000,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2022 | SEC | $925,000 |
UBS Financial Services | UBS | investor protection violation | 2014 | SEC | $56,400 |
UBS Financial Services | UBS | investor protection violation | 2016 | SEC | $15,025,882 |
UBS Financial Services | UBS | investor protection violation | 2011 | IN-SEC | $677,000 |
UBS Financial Services | UBS | investor protection violation | 2012 | FINRA | $2,354,584 |
UBS as successor to Piper Jaffray | UBS | wage and hour violation | 2008 | private lawsuit-federal | $5,500,000 |
UBS Americas Inc. | UBS | toxic securities abuses | 2013 | FHFA | $885,000,000 |
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 |