Credit Suisse Securities (USA) LLC | investor protection violation | 2011 | FINRA | $1,750,000 |
UBS Securities LLC | investor protection violation | 2011 | FINRA | $12,000,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2011 | FINRA | $4,500,000 |
UBS Financial Services, Inc. | investor protection violation | 2011 | FINRA | $10,750,000 |
UBS Securities | investor protection violation | 2009 | FINRA | $268,000 |
Credit Suisse Securities (USA), LLC | investor protection violation | 2009 | FINRA | $275,000 |
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 Securities | investor protection violation | 2022 | FINRA | $9,000,000 |
UBS Securities LLC | investor protection violation | 2022 | FINRA | $2,500,000 |
UBS Financial Services Inc. | anti-money-laundering deficiencies | 2018 | FINCEN | $5,000,000 |
Credit Suisse | toxic securities abuses | 2014 | FHFA | $885,000,000 |
UBS Americas Inc. | toxic securities abuses | 2013 | FHFA | $885,000,000 |
UBS AG | banking violation | 2015 | FED | $342,000,000 |
Credit Suisse AG | banking violation | 2014 | FED | $100,000,000 |
UBS AG | economic sanction violation | 2004 | FED | $100,000,000 |
UBS Group AG | banking violation | 2023 | FED | $268,500,000 |
Credit Suisse AG | tax violations | 2014 | DOJ_TAX | $1,800,000,000 |
UBS AG | tax violations | 2009 | DOJ_TAX | $780,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2015 | DOJ_CRIMINAL | $203,000,000 |
Credit Suisse AG | economic sanction violation | 2009 | DOJ_CRIMINAL | $268,000,000 |
Credit Suisse (Hong Kong) Limited | Foreign Corrupt Practices Act | 2018 | DOJ_CRIMINAL | $47,029,916 |
Credit Suisse Group AG | fraud | 2021 | DOJ_CRIMINAL | $175,500,000 |
Credit Suisse | toxic securities abuses | 2017 | DOJ_CIVIL | $5,280,000,000 |
UBS AG | toxic securities abuses | 2023 | DOJ_CIVIL | $1,435,000,000 |
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 Financial Services, Inc. | investor protection violation | 2013 | DE-AG | $70,077 |
UBS Financial Services Inc. | investor protection violation | 2007 | CT-SEC | $5,500,000 |
UBS AG | environmental violation | 2011 | CT-ENV | $80,000 |
Credit Suisse | investor protection violation | 2016 | CFTC | $665,000 |
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 Securities | investor protection violation | 2010 | CFTC | $200,000 |
UBS AG | investor protection violation | 2010 | CFTC | $130,000 |
UBS Fund Advisor, LLC | investor protection violation | 2009 | CFTC | $50,000 |
UBS AG | investor protection violation | 2018 | CFTC | $15,000,000 |
Credit Suisse | investor protection violation | 2021 | CFTC | $1,500,000 |
UBS AG | investor protection violation | 2021 | CFTC | $500,000 |
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 | 2010 | AK-DBS | $733,465 |
UBS Financial Services, Inc. | investor protection violation | 2013 | AK-DBS | $64,661 |
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 Global Asset Management | benefit plan administrator violation | 2006 | private lawsuit-federal | $5,493,000 |
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 | consumer protection violation | 2016 | private lawsuit-federal | $110,000,000 |
UBS Securities LLC | consumer protection violation | 2015 | private lawsuit-federal | $78,333,333 |
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 Group AG | price-fixing or anti-competitive practices | 2024 | private lawsuit-federal | $81,000,000 |
UBS | price-fixing or anti-competitive practices | 2024 | private lawsuit-federal | $125,000,000 |