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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: $31,275,299,125
Number of records: 181
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$27,713,994,893137
competition-related offenses$3,270,027,24830
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$2,918,797,33226
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: For a summary of this company's regulatory penalties in more than 50 other countries, see its Violation Tracker Global summary page here.

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 TypeYearAgencyPenalty Amount sort icon
UBS Financial Services Inc.investor protection violation2007CT-SEC$5,500,000
UBS Global Asset Managementbenefit plan administrator violation2006private lawsuit-federal$5,493,000
UBS O'Connor, LLCinvestor protection violation2013SEC$5,297,716
Credit Suisse Securities (USA) LLCinvestor protection violation2018SEC$5,000,000
UBS Financial Services Inc.investor protection violation2018SEC$5,000,000
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), LLCinvestor protection violation2014FINRA$5,000,000
UBS Financial Services Inc.investor protection violation2004SEC$4,621,768
UBS Financial Services Inc.investor protection violation2013MULTI-FIN$4,600,000
UBS Financial Services, Incinvestor protection violation2013MULTI-AG$4,580,000
UBS Financial Services, Inc.investor protection violation2006MT-FIN$4,503,166
Credit Suisse Securities (USA) LLCinvestor protection violation2011FINRA$4,500,000
Credit Suisse Securities (USA) LLCinvestor protection violation2015SEC$4,250,000
UBS Securities LLC and UBS Financial Services, Incinvestor protection violation2011NJ-AG$3,790,487
UBS Financial Services, Inc.investor protection violation2017SEC$3,500,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCinvestor protection violation2011SEC$2,500,000
UBS Securities LLCinvestor protection violation2022FINRA$2,500,000
UBS Financial Servicesinvestor protection violation2012FINRA$2,354,584
UBS Financial Services Inc.investor protection violation2019FINRA$2,000,000
Credit Suisse Securities (USA) LLCinvestor protection violation2011FINRA$1,750,000
UBS AGeconomic sanction violation2015OFAC$1,700,100
Credit Suisseinvestor protection violation2021CFTC$1,500,000
UBSwage and hour violation2012private lawsuit-federal$1,400,000
UBSwage and hour violation2015private lawsuit-federal$1,312,500
CS First Boston Corp.investor protection violation2000FINRA$1,240,000
Credit Suisse Securities (USA) LLCtoxic securities abuses2016VA-AG$1,200,000
Credit Suisse Securities (USA) LLCinvestor protection violation2011NJ-AG$1,057,996
Donaldson, Lufkin & Jenrette Securities Corp.investor protection violation2004SEC$1,000,000
UBS Financial Services Inc.investor protection violation2011NH-BSR$1,000,000
UBS Financial Services, Inc.investor protection violation2008FINRA$1,000,000
UBS Financial Services Inc.investor protection violation2022SEC$925,000
UBS Securities LLCtoxic securities abuses2016VA-AG$850,000
UBSbanking violation2023TX-AG$850,000
Credit Suisse First Boston LLCinvestor protection violation2004FINRA$770,000
UBS Securities LLCinvestor protection violation2010AK-DBS$733,465
UBS Securities LLCinvestor protection violation2005SEC$700,000
UBS Financial Services, Inc.investor protection violation2007MO-SEC$697,210
UBS Financial Servicesinvestor protection violation2011IN-SEC$677,000
Credit Suisseinvestor protection violation2016CFTC$665,000
UBS FINANCIAL SERVICES, INC.investor protection violation2010VA-SEC$625,000
Credit Suisse Securities (USA) LLCinvestor protection violation2020SEC$600,000
Credit Suisse Group AGprice-fixing or anti-competitive practices2023private lawsuit-federal$550,000
UBS PaineWebber, Inc.investor protection violation2003SEC$500,000
UBS AGinvestor protection violation2021CFTC$500,000
UBS Financial Services Inc.investor protection violation2015SEC$480,000
UBS Financial Services, Inc.investor protection violation2007FINRA$370,000
UBS AGprice-fixing or anti-competitive practices2016WV-AG$325,000
UBS Financial Services Inc.investor protection violation2014VT-FIN$325,000
UBS Global Asset Managementinvestor protection violation2012SEC$300,000
UBS Financial Services Inc.investor protection violation2019VA-SEC$288,970
Credit Suisse Securities (USA), LLCinvestor protection violation2009FINRA$275,000
UBS Securitiesinvestor protection violation2009FINRA$268,000
Credit Suisse Securities (USA), LLCinvestor protection violation2006FINRA$225,000
UBS Financial Services Inc.investor protection violation2004FINRA$200,666
UBS Securitiesinvestor protection violation2010CFTC$200,000
Credit Suisse First Boston, LLCinvestor protection violation2005SEC$200,000
UBS Securities, LLCinvestor protection violation2008FINRA$200,000
UBS Financial Services, Inc.investor protection violation2009MO-SEC$170,175
UBS AGinvestor protection violation2010CFTC$130,000
UBS FINANCIAL SERVICES, INC.investor protection violation2007VA-SEC$100,000
UBS Financial Services, Inc.investor protection violation2009FINRA$100,000
UBS, Inc.wage and hour violation2013WHD$90,902
UBS AGenvironmental violation2011CT-ENV$80,000
UBS Financial Services Inc.investor protection violation2012NH-BSR$72,500
UBS Financial Services, Inc.investor protection violation2013DE-AG$70,077
Schwab Capital Markets, L.P.investor protection violation2004FINRA$70,000
UBS Financial Services, Inc.investor protection violation2013AK-DBS$64,661
UBS Financial Servicesinvestor protection violation2014SEC$56,400
UBS Fund Advisor, LLCinvestor protection violation2009CFTC$50,000
Credit Suisse First Boston, L.L.C.investor protection violation2004FINRA$50,000
UBS Financial Services, Inc.wage and hour violation2007WHD$27,152
UBS Inc.labor relations violation2010NLRB$26,351
Credit Suisse First Boston Corporationinvestor protection violation2001FINRA$25,000
UBS (USA) Inceconomic sanction violation2003OFAC$14,750
Schwab Capital Marketsinvestor protection violation2001FINRA$12,000
UBS International Inc.investor protection violation2005FINRA$10,000
UBS Securities, L.L.C.investor protection violation2004FINRA$10,000
Credit Suisse Energy LLCutility service violation2017TX-PUC$7,500
UBS Financial Services Inc.wage and hour violation2018WHD$6,246
UBS (USA) Inceconomic sanction violation2003OFAC$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.