UBS Financial Services, Inc. | investor protection violation | 2009 | FINRA | $100,000 |
UBS Financial Services, Inc. | investor protection violation | 2008 | FINRA | $1,000,000 |
UBS Securities, LLC | investor protection violation | 2008 | FINRA | $200,000 |
UBS Financial Services, Inc. | investor protection violation | 2007 | FINRA | $370,000 |
Credit Suisse Securities (USA), LLC | investor protection violation | 2006 | FINRA | $225,000 |
UBS International Inc. | investor protection violation | 2005 | FINRA | $10,000 |
Credit Suisse First Boston, L.L.C. | investor protection violation | 2004 | FINRA | $50,000 |
Schwab Capital Markets, L.P. | investor protection violation | 2004 | FINRA | $70,000 |
UBS Securities, L.L.C. | investor protection violation | 2004 | FINRA | $10,000 |
UBS Financial Services Inc. | investor protection violation | 2004 | FINRA | $200,666 |
Credit Suisse First Boston LLC | investor protection violation | 2004 | FINRA | $770,000 |
Credit Suisse First Boston Corporation | 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. $50,000,000 |
Schwab Capital Markets | investor protection violation | 2001 | FINRA | $12,000 |
Credit Suisse First Boston Corporation | investor protection violation | 2001 | FINRA | $25,000 |
CS First Boston Corp. | investor protection violation | 2000 | FINRA | $1,240,000 |
Credit Suisse | investor protection violation | 2021 | CFTC | $1,500,000 |
UBS Financial Services Inc. | investor protection violation | 2021 | SEC | $8,112,174 |
UBS AG | investor protection violation | 2021 | CFTC | $500,000 |
Credit Suisse Securities | investor protection violation | 2022 | FINRA | $9,000,000 |
UBS Financial Services Inc. | investor protection violation | 2022 | SEC | $25,000,000 |
UBS Financial Services Inc. | investor protection violation | 2022 | SEC | $925,000 |
Credit Suisse | investor protection violation | 2022 | CFTC | $75,000,000 |
UBS AG | investor protection violation | 2022 | CFTC | $75,000,000 |
UBS Securities LLC | investor protection violation | 2022 | FINRA | $2,500,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2022 | SEC | $125,000,000 |
UBS Securities LLC and UBS Financial Services Inc. | investor protection violation | 2022 | SEC | $125,000,000 |
Credit Suisse Securities (USA) LLC et al. | investor protection violation | 2022 | NJ-AG | $495,000,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2023 | SEC | $10,000,000 |
UBS Inc. | labor relations violation | 2010 | NLRB | $26,351 |
UBS Securities Japan Co. Ltd. | price-fixing or anti-competitive practices | 2012 | DOJ_ANTITRUST | $500,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $160,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2015 | DOJ_CRIMINAL | $203,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2014 | CFTC | $290,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2012 | CFTC | $700,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2018 | MULTI-AG | $68,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2011 | 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. $90,800,000 |
UBS AG | price-fixing or anti-competitive practices | 2016 | WV-AG | $325,000 |
Credit Suisse AG | price-fixing or anti-competitive practices | 2017 | NY-DFS | $135,000,000 |
Credit Suisse AG | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
Credit Suisse AG | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $10,989,000 |
Credit Suisse AG | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $8,875,000 |
Credit Suisse GroupAG | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
Credit Suisse Securities (USA) LLC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
UBS AG | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $17,900,000 |
UBS AG | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $141,075,000 |
UBS AG | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $14,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $8,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $32,000,000 |
UBS Group AG | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
UBS Securities LLC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Credit Suisse Group AG | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $550,000 |
Credit Suisse AG | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $13,750,000 |
Credit Suisse AG | tax violations | 2014 | DOJ_TAX | $1,800,000,000 |
UBS AG | tax violations | 2009 | DOJ_TAX | $780,000,000 |
UBS AG | tax violations | 2009 | SEC | $200,000,000 |
Credit Suisse AG | tax violations | 2014 | NY-DFS | $715,000,000 |
UBS Securities | toxic securities abuses | 2013 | SEC | $50,000,000 |
Credit Suisse Securities (USA) | toxic securities abuses | 2012 | SEC | $120,000,000 |
Credit Suisse | toxic securities abuses | 2014 | FHFA | $885,000,000 |
UBS Americas Inc. | toxic securities abuses | 2013 | FHFA | $885,000,000 |
UBS | toxic securities abuses | 2016 | NCUA | $69,800,000 |
Credit Suisse | toxic securities abuses | 2016 | NCUA | $50,300,000 |
Credit Suisse | toxic securities abuses | 2017 | DOJ_CIVIL | $5,280,000,000 |
UBS | toxic securities abuses | 2017 | NCUA | $445,000,000 |
Credit Suisse Securities (USA) LLC | toxic securities abuses | 2016 | VA-AG | $1,200,000 |
UBS Financial Services, Inc. and UBS Securities LLC | toxic securities abuses | 2008 | MA-AG | $35,000,000 |
UBS Securities LLC | toxic securities abuses | 2018 | NY-AG | $230,000,000 |
UBS Securities LLC | toxic securities abuses | 2016 | VA-AG | $850,000 |
UBS AG | toxic securities abuses | 2023 | DOJ_CIVIL | $1,435,000,000 |
Credit Suisse Energy LLC | utility service violation | 2017 | TX-PUC | $7,500 |
UBS, Inc. | wage and hour violation | 2013 | WHD | $90,902 |
UBS Financial Services, Inc. | wage and hour violation | 2007 | WHD | $27,152 |
UBS | wage and hour violation | 2015 | private lawsuit-federal | $1,312,500 |
UBS | wage and hour violation | 2012 | private lawsuit-federal | $1,400,000 |
UBS as successor to Piper Jaffray | wage and hour violation | 2008 | private lawsuit-federal | $5,500,000 |
UBS | wage and hour violation | 2007 | private lawsuit-federal | $44,000,000 |
UBS | wage and hour violation | 2007 | private lawsuit-federal | $45,000,000 |
UBS Financial Services Inc. | wage and hour violation | 2018 | WHD | $6,246 |