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Violation Tracker Current Parent Company Summary

Current Parent Company Name: UBS
Ownership Structure: publicly traded (ticker symbol NYSE: UBS)
Headquartered in: Switzerland
Major Industry: financial services
Specific Industry: banking & securities
Penalty total since 2000$31,069,299,125
Number of records: 179
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$27,713,994,893137
competition-related offenses$3,064,027,24828
consumer-protection-related offenses$188,340,8333
employment-related offenses$102,856,15110
environment-related offenses$80,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$13,266,275,043106
toxic securities abuses$9,487,150,00013
tax violations$3,495,000,0004
price-fixing or anti-competitive practices$2,712,797,33224
banking violation$711,350,0004
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below 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. The totals 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 list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense Type sort iconYearAgencyPenalty Amount
UBS Financial Servicesinvestor protection violation2011IN-SEC$677,000
UBS Financial Services, Inc.investor protection violation2007MO-SEC$697,210
UBS Financial Services, Inc.investor protection violation2009MO-SEC$170,175
UBS Financial Services, Inc.investor protection violation2006MT-FIN$4,503,166
UBS Financial Services Inc.investor protection violation2011NH-BSR$1,000,000
UBS Financial Services Inc.investor protection violation2012NH-BSR$72,500
UBS Securities LLCinvestor protection violation2010TX-SEC$6,640,432
UBS FINANCIAL SERVICES, INC.investor protection violation2007VA-SEC$100,000
UBS FINANCIAL SERVICES, INC.investor protection violation2010VA-SEC$625,000
UBS Financial Services Inc.investor protection violation2019VA-SEC$288,970
UBS Financial Services Inc.investor protection violation2014VT-FIN$325,000
Credit Suisse First Boston LLCinvestor 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) LLCinvestor protection violation2008MULTI-FIN$15,000,000
UBS Financial Services Inc.investor protection violation2013MULTI-FIN$4,600,000
UBS Securities LLC and UBS Financial Services Inc.investor 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 PaineWebberinvestor 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
UBS Financial Services Inc.investor protection violation2020SEC$10,000,000
Credit Suisse Securities (USA) LLCinvestor protection violation2020SEC$600,000
Credit Suisse Securities (USA) LLCinvestor protection violation2019FINRA$6,500,000
UBS Financial Services Inc.investor protection violation2019FINRA$2,000,000
UBS Financial Services Incorporated of Puerto Ricoinvestor protection violation2015FINRA$18,500,000
Credit Suisse Securities (USA), LLCinvestor protection violation2014FINRA$5,000,000
UBS Financial Servicesinvestor protection violation2012FINRA$2,354,584
Credit Suisse Securities (USA) LLCinvestor protection violation2011FINRA$1,750,000
UBS Securities LLCinvestor protection violation2011FINRA$12,000,000
Credit Suisse Securities (USA) LLCinvestor protection violation2011FINRA$4,500,000
UBS Financial Services, Inc.investor protection violation2011FINRA$10,750,000
UBS Securitiesinvestor protection violation2009FINRA$268,000
Credit Suisse Securities (USA), LLCinvestor protection violation2009FINRA$275,000
UBS Financial Services, Inc.investor protection violation2009FINRA$100,000
UBS Financial Services, Inc.investor protection violation2008FINRA$1,000,000
UBS Securities, LLCinvestor protection violation2008FINRA$200,000
UBS Financial Services, Inc.investor protection violation2007FINRA$370,000
Credit Suisse Securities (USA), LLCinvestor protection violation2006FINRA$225,000
UBS International Inc.investor protection violation2005FINRA$10,000
Credit Suisse First Boston, L.L.C.investor protection violation2004FINRA$50,000
Schwab Capital Markets, L.P.investor protection violation2004FINRA$70,000
UBS Securities, L.L.C.investor protection violation2004FINRA$10,000
UBS Financial Services Inc.investor protection violation2004FINRA$200,666
Credit Suisse First Boston LLCinvestor protection violation2004FINRA$770,000
Credit Suisse First Boston Corporationinvestor 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 Marketsinvestor protection violation2001FINRA$12,000
Credit Suisse First Boston Corporationinvestor protection violation2001FINRA$25,000
CS First Boston Corp.investor protection violation2000FINRA$1,240,000
Credit Suisseinvestor protection violation2021CFTC$1,500,000
UBS Financial Services Inc.investor protection violation2021SEC$8,112,174
UBS AGinvestor protection violation2021CFTC$500,000
Credit Suisse Securitiesinvestor protection violation2022FINRA$9,000,000
UBS Financial Services Inc.investor protection violation2022SEC$25,000,000
UBS Financial Services Inc.investor protection violation2022SEC$925,000
Credit Suisseinvestor protection violation2022CFTC$75,000,000
UBS AGinvestor protection violation2022CFTC$75,000,000
UBS Securities LLCinvestor protection violation2022FINRA$2,500,000
Credit Suisse Securities (USA) LLCinvestor protection violation2022SEC$125,000,000
UBS Securities LLC and UBS Financial Services Inc.investor protection violation2022SEC$125,000,000
Credit Suisse Securities (USA) LLC et al.investor protection violation2022NJ-AG$495,000,000
Credit Suisse Securities (USA) LLCinvestor protection violation2023SEC$10,000,000
Credit Suisse Group AGfraud2021DOJ_CRIMINAL$175,500,000
Credit Suisse (Hong Kong) LimitedForeign Corrupt Practices Act2018DOJ_CRIMINAL$47,029,916
Credit Suisse Group AGForeign Corrupt Practices Act2018SEC$29,700,000
Credit Suisse Group AGForeign Corrupt Practices Act2021SEC$99,000,000
UBS AGenvironmental violation2011CT-ENV$80,000
UBS AGeconomic sanction violation2015OFAC$1,700,100
UBS AGeconomic sanction violation2004FED$100,000,000
Credit Suisse AGeconomic sanction violation2009DOJ_CRIMINAL$268,000,000
UBS (USA) Inceconomic sanction violation2003OFAC$14,750
UBS (USA) Inceconomic sanction violation2003OFAC$5,000
Credit Suisse AGeconomic sanction violation2009NY-MANDA$268,000,000
Credit Suisseconsumer protection violation2016private lawsuit-federal$110,000,000
UBS Securities LLCconsumer protection violation2015private lawsuit-federal$78,333,333
UBS Global Asset Managementbenefit plan administrator violation2006private lawsuit-federal$5,493,000
UBS AGbanking violation2015FED$342,000,000
Credit Suisse AGbanking violation2014FED$100,000,000
UBSbanking violation2023TX-AG$850,000
UBS Group AGbanking violation2023FED$268,500,000
UBS Financial Services Inc.anti-money-laundering deficiencies2018FINCEN$5,000,000
UBS Financial Services Inc. and UBS Securities LLCanti-money-laundering deficiencies2018FINRA$5,000,000
Credit Suisse Securities (USA) LLCanti-money-laundering deficiencies2016FINRA$16,500,000
Credit Suisse AGaccounting fraud or deficiencies2016SEC$90,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.